Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Victor and Barbara Rudkin Name of the. Merrill Lynch, Pierce, Fenner & Smith, Inc. David T. Foster Wade M.Wilson rase Number 04-04015 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Victor and Barbara Rudkin, hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04010 John R. Powers, TTEE FBO John R. Powers Mary L. Powers as TTEE of the Mary L. Powers Living Trust Names of the Respondents Hearing Site: Tampa, 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

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04009 Fred C. Arnold, TTEE of the Fred C. Arnold Living Trust Fred C, Arnold, individually as owner of IRA accounts Names of the Respondents Hearing Site: Tampa, 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 P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Patrick A. Weeks Names of the Respondents American General Securities, Inc. Leroy Jack Smith Case Number: 04-04008 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patrick A. Weeks ("Weeks"), hereinafter referred to as "Claimant": George W. Healy, IV, Esq., Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04007 Dr. Stanley and Ann Saunders Name of the Respondent Hearing Site: Boca Raton, Florida Oppenheimer & Co., Inc., successor to Fahnestock, successor to Josephthal Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dr. Stanley and Ann Saunders, hereinafter collectively referred to as "Claimants": Bradley R. Stark, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Cast* Number' 04-00400 Kenneth C. Hunt Names of the Respondents Hearing Site- Philadelphia, Pennsylvania Merrill Lynch, Pierce, Fenner & Smith, Inc. Christopher Kroberger Nature of the Dispute: Customer vs. Member and Associated Person. RFPRRSFNTATTON OF PARTIES Claimant, Kenneth C. Hunt, hereinafter referred to as "Claimant"., was represented by Jeffrey

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen J. Slocum, Claimant v. Bruce Campbell, Brookstreet Securities Corporation, Interfirst Capital Corporation, and Wedbush Morgan Securities Inc., Respondents Case Number: 04-03988 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents Bruce Campbell., B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03985 Jules Traighten and Sandra Traighten, Tenants in Common, Jules Traighten and Judith Tevrow Helfant, JTWROS, and Jules Traighten, Individually, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: ~~~ " For Claimants, Jules Traighten and Sandra Traighten, Tenants in Common, Jules Traighten and Judith Tevrow Helfant, JT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth D. Rickel, and on behalf of certain individuals and entities that he represents (Claimants) vs. MedFirst Capital Resources, Inc., MedFirst Healthcare, Inc., Gary S. Pagar, and James A, Ripp (Respondents) Case Number: 01-00140 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Non-Members REPRESENTATION OF PARTIES Claimants Kenneth D. Rickel, and on beh

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03984 Jerry La Mura, TTEE FBO The Jerry La Mura Trust and Jerry LaMura, Individually, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Jerry La Mura, TTEE FBO The Jerry La Mura Trust and Jerry LaMura, Individually, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners Newb