Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc. (Claimant) v. Thomas Worley (Respondent) Case Number: 01-00134 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, First Union Securities Inc., ("Claimant") was represented by Edward A. Walton, Esq. of Kane & Fisher, Ltd, Chicago, Illinois. Respondent, Thomas S. Worley ("Respondent") of Spring Texas represented himself. CASE IN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03876 Madelyn Y. Lowe Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Madelyn Y. Lowe, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq., L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03871 Yong Dong, Claimant v. TD Waterhouse Investor Services, Inc., Respondent ATTORNEYS: For Claimant Yong Dong ("Claimant") appeared Sara B. Davis, Esq., of the firm Perkins Smith & Cohen, LLP, Boston, MA. For Respondent TD Waterhouse Investor Services, Inc. ("Respondent") appeared Janis Campanella, Esq., in-house counsel, TD Waterhouse Investor Services, Inc., Boca Raton, FL. NATURE O

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03870 Oliver Beirne Chisolm, Jr., Claimant v. Greenwich Global, LLC, Respondent ATTORNEYS: Claimant Oliver Beime Chisolm, Jr. ("Claimant") appeared pro se, Asheville, NC. For Respondent Greenwich Global, LLC ("Respondent") appeared Randall C. Schauer, Esq., of the firm Fox Rothschild, LLP, Exton, PA. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: May 28, 2004. CASE SUMM

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Nicole C. Newton and Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., Scott C. Tater, Raymond B. Wert, II, The Wert Group and Spickler-Wert Group Case Number: 04-03854 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member, Associated Persons and Non-Members REPRESENTATION OF PARTIES Nicole C. Newton ("Claimant") was r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia DiRaffaele (Claimant) v. MetLife Securities, Inc. and David Disunno (Respondents) v. Rosario DiRaffaele (Third Party Respondent) Case Number: 04-03845 Hearing Site: New York, NewYork Nature of the Dispute: Customer v. Member and Associated Person v. Customer REPRESENTATION OF PARTIES Claimant Patricia DiRaffaele ("P. DiRaffaele") hereinafter referred to as "Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03842 Dolores M. Maddox, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman s Respondents ATTORNEYS: For Claimant, Dolores M. Maddox, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tbff Plaimant Case Number: 04-03841 Virginia Smith Virginia Smith IRA Names nf tfip Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Andrew Joseph Garber Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTF.S Claimant, Virginia Smith, individually and on behalf of her IRA, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Sigurd C. Sandzen Names of the Respondents Citigroup Global Markets, Inc. Carl Livingston Truluck, Jr. flSft Number: 04-03838 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer v. Member and Associated Person. RFPRF.SKNTATTON OF PARTIES Claimant, Sigurd C. Sandzen, hereinafter referred to as "Claimant", was represented by Ronald

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00130 Kenneth Greenblatt Name of the Respondents Hearing Site: Boca Raton, Florida Comprehensive Capital Corporation and Ronald A. Brodis Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Kenneth Greenblatt ("Greenblatt"), hereinafter referred to as "Claimant": Ezio Scaldaferri, Esq., Feder, Kaszovitz, Isaa