AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Miriam C. Olson v. 04-01454 Minneapolis, Minnesota Respondents UBS PaineWebber, Inc. and Robert C. Knutson, Jr. Nature of Dispute; Customer v. Member and Associated Person REPRESENTATION OF PARTIES Miriam C. Olson ("Claimant") was represented by Stephen P. Kelley, Esq., of Mackall, Crounse & Moore, PLC, Minneapolis, Minnesota. UBS PaineWebber, Inc. ("UBS"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01453 Rosalie Shevan Aronoff, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Rosalie Shevan Aronoff., ("Claimant"), Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01452 Nathan Engel, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Respondent. ATTORNEYS: For Claimant, Nathan Engel, ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A. Pensacola, FL, For Respondent, Merrill Lynch, Pierce, Fenner and Smith, Inc., ("Respondent") appeared A. Inge Selden, III, Esq., of the firm

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01448 Allan D. Ross, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Allan D. Ross ("Claimant") appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared A. Inge Selden, III, Esq., of the firm Mayn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Perry (Claimant) v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Derek Bartkow (Respondents) Case Number: 04-01447 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David Perry ("Perry") hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01446 Shawn W. Delmar, (Claimant) v. LaJolla Capital Corp., Pacific Cortez Securities, Centex Securities, Harold B. Gallison, Sr., Harold B. Gallison, Jr., Christos V. Kiziroglou, John A. Perrone, and Eric P. Lesak, (Respondents) ATTORNEYS: For Claimant Shawn W. Delmar ("Claimant") appeared Robert B. George, Esq., of the firm Diorio & Sereni, LLP, Media, PA. Respondent John A. Perrone ap

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant , Case Number: 04-01443 Louise S. Tyler n/k/a Louise S. Guarino Names of the Respondents Hearing Site: Orlando, Florida Prudential Securities Incorporated a/k/a Prudential Equity Group, Inc. Andrew Wunsch Steven G. Nash David H. Mellon Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Louise S. Ty

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01440 Monis Weiss, Claimant v. Oliver Wolcott, OI 7 Respondent ATTORNEYS: Claimant, Moms Weiss, {"Claimant"), appeared Pro Se Harwich, MA. For Respondent, Oliver Wolcott, III, ("Respondent"), appeared Harrison Kaufman, Esq., of Morgan Stanley, New York, NY. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED; March 3,2004. ~~ ~ ~ ~ ~ ~ ~ CASE

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bernadine A. Williams and Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., and Jason A. Horowitz Case Number: 04-01439 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Bernadine A. Williams ("Claimant") was represented by Robert L. Hindelang, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Kelly Hugh Rule; and Rule Construction Inc. Case No. 00-05690 Robby D. Schumacher, and Adam Mosslih Hearing Site: Nashville, Tennessee OF PAttTTFg Claimants Kelly Hugh Rule and Rule Construction Inc. were represented by Melanie E. Davis, Esq. of the firm of Kizer and Black, located in Maryville, Tennessee. Respondent Adam Mosslih was represented by Richard J. Ba