Award NASD Dispute Resolution In the Matter of the Arbitration Between: William L. Earth, on Behalf of the William L. Barth IRA Rollover Dated 3/9/99 and IRA Rollover Dated 9/22/99, Claimant v. Wachovia Securities, LLC, Prudential Equity Group, LLC #k/a Prudential Securities, Inc., and David Harrison Rascoe, Respondents Case Number: 04-05286 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bonnie E. Loveless Name of the Respondent First Heartland Capital Name of the Third-Party Respondent Ronald Dieht— Case Number: 04-05284 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION QF PARTIBS For Bonnie E. Loveless ("Loveless"), hereinafter referred to as "Claimant": Richar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Douglas Berge v. 04-05281 Minneapolis, Minnesota Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Nature of Dispute; Customer v. Member REPRESENTATION OF PARTIES Douglas Berge ("Claimant") was represented by Jon J. Jensen, Esq., of Pearson Christensen, PLLP, Grand Forks, North Dakota. Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent") was repres

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05277 Mary E. Scott, IRA, Mary E. Scott and H. Claire Scott, JT/WROS, Claimants v. Kevin Ford and Edward D. Jones & Co., Respondents ATTORNEYS: ~~ For Claimants, Mary E. Scott, IRA, Mary E. Scott and H. Claire Scott, JT/WROS, ("Claimants") appeared Mary E. Scott, Boynton Beach, FL. For Respondents, Kevin Ford and Edward D. Jones & Co., ("Respondents"), appeared David J. Simmons, Esq. of

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Roger G. RieflerJTEE FBO Roger G. Riefler Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-05262 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roger G. Riefler, TTEE FBO Roger G. Rief

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05261 Edmund S. Roskoski IRA Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. Jack B, Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edmund S. Roskoski IRA, hereinafter referred to as "Claimant": Douglas H. Gl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05260 Frederick and Zadie Schwendel JTWROS Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frederick and Zadie Schwendel JTWROS, hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sherrie Quinton, Claimant v* Ragen MacKenzie, Inc., Respondent Case Number: 01-00213 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni & Youtz Seattle, Washington For Respondent: Michael J. Lawson, Esq. Steefel Levitt & Weiss San Francisco, California CASE INFORMATION Statement of Claim filed on or about: Janu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles C. Tibbetts and Richard S. Kelsey, Claimants v. Joanne M. Dunlap and Mutual Service Corporation, Respondents Case Number: 00-00590 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Charles C. Tibbetts In Pro Per Orange, California For Respondents: Kari S. Turigliatto, Esq. Mutual Service Corporation Irvine, California CA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimant Case Number: 04-05257 Joyce Teerling T.O.D. L.L. Teerling, L.S.Walsh Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. For Joyce Teerling T.O.D. L.L., Teerling, L.S. Walsh, hereinafter referred to as "C