STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Conrad F. and Ruth H. Schenk and Names of Respondents Ad vest, Inc. and Robert C. Matlock, Jr. Case Number: 04-01847 Hearing Site: Louisville, Kentucky NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Conrad F. and Ruth H. Schenk ("Claimants") were represented by James P. McCrocklin, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benedetta Coccia (Claimant) v. AXA Advisors, LLC and Robert Tighe (Respondents) Case Number: 04-01839 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Benedetta Coccia ("Coccia") hereinafter referred to as "Claimant": Joanne A. Schulz, Esq., Williamsville, NY. Respondent AXA Advisors,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01836 Maynard F. Bailey, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Maynard F. Bailey ("Claimant"), appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman ("Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01835 Frank P. Walsh, Claimant vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Frank P. Walsh ("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 ("Respondents")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry and Barbara Kaczmarek (Claimants) v. Prudenital Securities, Inc., Wachovia Securities, LLC and Joseph Reedy (Respondents) Case Number: 04-01824 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES Claimants Harry and Barbara Kaczmarek hereinafter collectively referred to as "Claimants": Joann

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Claimant Case Number- 04-01823 Donna H. Morse Names nf the Respondents Hearing Site: Pittsburgh, PA Brad Zerbe Brian Massingale Rhonda Wolfe — ........ Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Associated Persons and Member RFPRFSF.NTATION OF PARTIES Claimant, Donna H. Morse, hereinafter referred to as "Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01817 Advantage Trading Group, Inc. Names of the Respondents Hearing Site: Orlando, Florida New York Global Securities, Inc., f/k/a Priority Securities, Inc. Mohandai Surajballi a/k/a Gloria Scheiman Benjamin Wei Name of Third Party Respondent John Busacca Nature of the Dispute: Member vs. Member and Associated Person vs. A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William D. Hobi, Claimant v. Goldman, Sachs & Co., Respondent Case Number: 04-01816 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Rodney J. Heggy, Esq. Federman & Sherwood Oklahoma City, Oklahoma For Respondent: Robin D. Fessel, Esq. Sullivan & Cromwell LLP New York, New York CA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael B. Woodward and Secure Tomorrows, Inc., Claimants v. Steve F. Haug, Bartholomew J. Brady-Ciampa and Metropolitan Investment Securities, Inc., Respondents Bartholomew J. Brady-Ciampa Counter-Claimant v. Michael B. Woodward and Secure Tomorrows, Inc. Counter-Respondent Case_Number: 04-01814 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Associated Person

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth Rosenthal d/b/a KenRose Associates, (Claimant) vs. Dain Rauscher Incorporated, (Respondent) Case Number: 00-05731 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Kenneth Rosenthal d/b/a KenRose Associates, hereinafter referred to as "Claimant": Louis J. Tavano, Esq., a sole practitioner, Las Vegas, NV. Respondent, Dain Rauscher Incorporated,