Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kathleen A. Miller nf the Respondent UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. Case Number- 04-03967 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Kathleen A. Miller, hereinafter referred to as "Claimant", was represented by Michael J. Belts, Esq., Betts L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Darryl R. Settles and Case Number: 04-03956 Hearing Site: Southfield, Michigan Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Wachovia Securities, LLC, Prudential Equity Group, LLC, and David Gallina NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Darryl R. Settles ("Claimant") was represente

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03948 Keylon L. Patch and Helen T. Mathis, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Keylon L. Patch and Helen T. Mathis ("Claimants"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wayman Dale Curtsinger i Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-03944 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Wayman Dale Curtsinger, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary L. Walsh-Durant IRA and Merrimac Trust U/A DTD 18-June-1996, Mary L. Walsh- Durant and Charles W. Durant, Trustees (Claimants) v. A.G. Edwards & Sons, Inc. and Daniel R. Santanello (Respondents) Case Number: 04-03938 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Mary L. Walsh-Durant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03932 Robert J. Janoff, Claimant v. Prudential Equity Group, L.L.C. and Constance Delise, Respondents ATTORNEYS: For Claimant, Robert J. Janoff, ("Claimant"), appeared Robert J. Cava, Esq. of the Law Offices of Robert J. Cava, P.C., West Babylon, NY. Respondent, Prudential Equity Group, L.L.C., appeared through in-house counsel Carole A. McDonald, New York, NY. Respondent, Constance

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: •'' Namft nf thp riflitnant rinse Number 04-03924 Craig Berube . , Names__pfthe Respondents ' ' Hparing Site' Philadelphia, PA Morgan Stanley DW, Inc. Paul L. Fowler Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTF.S Claimant, Craig Berube, hereinafter referred to as "Claimant", was represented by Theodore H. Jobes,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name f!1aimant Teresita Lanuza Adcock Name fifths Respondent First Citizen Investor Services, Inc. Case Niimher: 04-03923 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member. RF.PRFSFNTATTON OF PARTIES Claimant, Teresita Lanuza Adcock, hereinafter referred to as "Claimant", was represented by A. Daniel Woska, Esq., Woska & Hayes, L.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ziad M. Marjieh, M.D., individually, as a tenant by the entireties and as owner and beneficiary of the Ziad Marjieh, M.D., SEP Account, and Mary Lou Marjieh, individually and as a tenant by the entireties Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-03915 Hearing Site: Boca Raton, Florida Nature of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimants Case Number: 01-00136 Seymour Zisook, individually and as Trustee of the Seymour Zisook Revocable Trust v. Respondents Hearing Site: Chicago, Illinois Kirlin Securities, Inc., and Robert A. Jones Cross-Claimant Robert Jones v. Cross-Respondent Kirlin Securities, Inc. Claimant Seymour Zisook, individually and as trustee of the Seymour Zisoo