NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05689 Lindsey C. Deal, claimant vs. E*Trade, respondent. ATTORNEYS: Claimant appeared Pro Se, Sau Paulo, Brazil. For Respondent appeared Eric E. Bronson, Esq. of the firm, Brid, Marella, Boxer & Wolpert, P.C., Los Angeles, CA. DATE FILED: December 26, 2000 CASE SUMMARY: Claimant alleged that respondent failed to disclose relevant information regarding the expiration of 400 Light

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred Horn, as an individual and as Trustee for the Alfred Horn 1998 Charitable Trust and the Alfred Horn Revocable Trust, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Carmen Kayee Woo, Respondents Case Number: 04-01406 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01404 Harris Investor Services Name of the Respondent Hearing Site: Boca Raton, Florida Cheryl Golden Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Harris Investor Services, hereinafter referred to as "Claimant": Greg Ross, Esq., Law Offices of Greg Ross, P.A., Ft. Lauderdale, Florida. Cheryl Golden, herein

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Hai'mant Pase Number 04-01396 Nancy Tracey Names nf the Respondents Hearing Site' Baltimore, MD Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Marie Van Deusen Nature of the Dispute: Customer vs. Member and Associated Person. RFPKFSFNTATTON OF PAPTTRS Claimant, Nancy Tracey ("Claimant"), was represented by Matthew D. Pardy, Esq., Kim,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01393 William H. Young Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter Francis Lausier Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William H. Young, hereinafter referred to as "Claimant": John R. Kiefner, Jr., Esq. and Clifford J. Hunt, Esq., Kiefner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp nf the Claimant flam Niimhf-r- 04-01391 Edward Emrich Name nf the Respondent Hearing Site; Charlotte, North Carolina Merrill Lynch, Pierce, Fenner, & Smith, Inc. Nature of the Dispute: Customer vs. Member. RKPRKSF.NTATTON OF PAKTTFS Claimant, Edward Emrich, hereinafter referred to as "Claimant", represented himself at the hearing. Respondent, Merrill Lynch, Pierce,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Cindy L. Stevenson and Dorothy G. Eaton, Conservators of the Estate of Courtney Lynn Eaton; Cindy L. Stevenson and Dorothy G. Eaton, Conservators of the Estate of Curtis Matthew Eaton; Ben Eaton and Dorothy G. Eaton as Joint Tenants and Gary T. Eaton and Dorothy G. Eaton as Joint Tenants and Names of Respondents Robert W. Baird and Co. Incorporated,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Marchetti, Claimant v. InvestPrivate, Inc., Richard Bertel and Scott L. Mathis, Respondents Case Number: 04-01385 Hearing Site: New York, N.Y. Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Joseph Marchetti ("Marchetti") hereinafter referred to as "Claimant": Loel Seitel, Esq., Law Office of Marc F. Desider

Stipulated Award NASD Dispute Resolution MERLE R. POUNDS, M.D., § § Claimant, § § vs. § NASD#04-01380 § DALLAS, TEXAS MERRILL LYNCH, PIERCE, FENNER § & SMITH INCORPORATED and DALE § REED, § § Respondents. § Customer v. Member Firm and Associated Person O? ATTF.S Claimant Merle R. Pounds, hereinafter referred to as "Claimant," was represented by Larry Lesh, 5949 Sherry Lane, Suite 501, Dallas, Texas 75225. Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:04-01376 Marion D. Ross, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Marion D. Ross ("Claimant") appeared Rohit C. Sharma, Esq., of the David Garrett Law Office, P.C., Muskogee, OK. For Respondents Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively "Responde