NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01438 Joyce Jonas and Lillian D'Elia, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., David Bateman, and Kim Heiman, Respondents ATTORNEYS: Claimants Joyce Jonas and Lillian D'Elia ("Claimants") appeared pro se y Port St. Lucie, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., David Bateman, and Kim Heiman ("Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benjamin G. Aibel (Claimant) v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc. (Respondent) Case Number: 04-01436 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Benjamin G. Aibel hereinafter referred to as "Claimant": Kenneth E. Warner, Esq., Warner Partners, P.C., formerly Coblence & War

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, Inc., f/k/a Prudential Securities, Inc. and William P. Garten vs. Dave Stepanek Case Number: 04-01433 Nature of Dispute: Member and Associated Person vs. Customer REPRESENTATION OF PARTIES Claimants, Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. and William P. Garten ("Claimants") appeared through Dennis J. Concilia, Esq. and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann Flynn (Claimant) v. Raymond James Financial Services, Inc. and Gregory Porter and Gregory Jude Porter (Respondents) Case Number: 04-01431 Hearing Site: Buffalo, NY Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Ann Flynn hereinafter referred to as "Claimant": Andrea R. Polvino, Esq., McGrath & Polvino, PLLC, Wil

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Elizabeth Ann Strickland Names of the Respondents Salomon Smith Barney, Inc. Carol Ann Hanlon Case Number: 04-01423 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elizabeth Ann Strickland, hereinafter referred to as "Claimant": Pat H. Huddleston, II, Esq.,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Joe O. Hawkins and Margaret L. Hawkins and 04-01418 Phoenix, Arizona Name of Respondents Tucker Anthony Incorporated n/k/a RBC Dain Rauscher, Inc. Keith Daniel Schollard Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Joe O. Hawkins and Margaret L. Hawkins ("Claimants") were represented by Rober

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 04-01416 Maureen E. Roberts Names nf the Respondents Hearing Site: Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Gregory Thomas Pleasants Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Maureen E. Roberts, hereinafter referred to as "Claimant", was represented by Joel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01415 Roger M. Greger and Jacqueline C. Greger, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Roger M. Greger and Jacqueline C. Greger ("Claimants") 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 & Smith, Inc. ("Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph M. Lief Trust by Craig Lief, Trustee (Claimant) v. Janney Montgomery Scott, LLC and Roni E. Hared (Respondents) Case Number: 04-01410 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joseph M. Lief Trust by Craig Lief, Trustee ("Lief Trust") hereinafter referred to as "Claimant" appeared

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Melvin I. Friedman, individually, and Melvin I. Friedman and Joan L. Friedman as Trustees of the Friedman Family Trust Dated 12/10/98, Claimants v, Salomon Smith Barney n/k/a Citigroup Global Markets, Inc., Stephen G. Rotchschild, and Daniel G. Rothschild, Respondents Case Number: 04-01409 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Pers