Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney Inc.), Claimant v. Jessica A. Berry, Respondent Case Number: 04-03618 Situs: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Kinnery Patel, Esq. The Mozingo Law Firm Newport Beach, California Respondent did not enter an appearance in this matter

Award NASD Dispute Resolutibn In the Matter of the Arbitration Between: James F. Neiderer and Ruth A. Neiderer, Claimants v. Pruco Securities, LLC, Respondent • Case Number: 04-03617 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES i • For Claimants: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Respondent: Fred N. Knopf, Esq. Ami Shah, Esq. Wilson

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary Paul vs. Case Number: 04-03613 Hearing Location: Chicago, Illinois Names of Respondents Morgan Stanley DW, Inc. and Branch Haymans NATURE OF DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Gary Paul ("Claimant") was represented by Erwin Cohn, Esq., Cohn & Conn, Chicago, Illinois. Morgan Stanley DW, I

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ron Peterson and Names of Respondents Merrill Lynch Pierce Rentier & Smith, Inc., Maureen M. Raihle and John Peter Verbockel Case Number:. 04-03611 Hearing Site: Chicago, Illinois NATURE OR DISPUTE Customer v. Member and Associated Persons REPRESENTATION OR PARTIES Ron Peterson ("Claimant") was represented by Andrew Stoltmann, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the: Claimant J.J.B. Milliard, W,L. Lyons, Inc. TSFamR nf the Respondent Gary Thomas Bolt Case Number' 04-03610 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Member vs. Associated Person. KKPRKSRNTATTON OF PAKTTF.S Claimant J.J.B. Milliard, W.L. Lyons, Inc., hereinafter referred to as "Claimant", was represented by Matthew J. Morelli, Esq., U

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant JJ.B. Billiard, W.L. Lyons, Inc. and 04-03609 Nashville, Tennessee Name of Respondent David Scott O'Block Nature of the Dispute: Member and Associated Person. REPRESENTATION OF PARTIES JJ.B. Milliard, W.L. Lyons, Inc. ("Claimant") was represented by Matthew J. Morelli, Esq., Ulmer Berne LLP, Cleveland, Ohio. David Scott O'Block ("Respondent") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Declan Doherty, (Claimant) vs. Joseph Gunnar & Co., LLC and James J. Crew, (Respondents) Case Number: 01-00106 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Declan Doherty, hereinafter referred to as "Claimant": Michael S. Press, Esq., Warner & Scheurman, New York, NY (Mr. Press was with the law firm of Riad & Associates, P.C., New Yojjc, NY, when this claim w

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant JJ.B. Billiard, W.L. Lyons, Inc. Case Number- 04-03608 Name of the Respondent Charles E. Six, Jr. aring Site- Pittsburgh, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant JJ.B. Hilliard, W.L. Lyons, Inc., hereinafter referred to as "Claimant", was represented by Matthew J. Morelli, Esq., Ulmer &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ' • • * Mary Beth Rodriquez and 04-03603 Phoenix, Arizona Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES Mary Beth. Rodriquez ("Claimant") was represented by Milton pried, Esq., Woska& ; Hayes,LLP, Kijigwood,Texas./ ;. . . , '•-•-.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luwain L.S. Ng TTEE Luwain L.S. Ng Charitable Remainder Trust, Luwain L.S. Ng, James W.S. Ng TTEE James W.S. Ng Charitable Remainder Trust, and James W.S. Ng TTEE James W.S. Ng Revocable Trust, Claimants v. A.G. Edwards & Sons, Inc. and David J. Sao Marcos, Respondents Case Number: 04-03601 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associ