In the Matter of the Arbitration Between Name of Claimant John C. Joyner, as Guardian of the Property of Fredna M. Cottingham Case No. 00-05682 Names of Respondents Raymond James Financial Services, Inc. Michael D. Antonio Luke Haymond Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For John C. Joyner, as Guardian of the Property of Fredna M. Cottingham ("Joyner"), hereinafter referred to as "Claimant": Daniel I. Maclntyre, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01374 Rollin B. Hardisty IRA, Claimant v. Janney Montgomery Scott, Bernard Cohen and Jonathan Cohen, Respondents. ATTORNEYS: Claimant, Rollin B. Hardisty IRA, ("Claimant") appeared pro se, Jupiter, FL. For Respondent, Janney Montgomery Scott, Bernard Cohen and Jonathan Cohen, (Collectively "Respondents") appeared through their in-house counsel, Carrie L. Chelko, Esq., Philadelphia, PA.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor DeLuca and Janice DeLuca (Claimants) v. Salomon Smith Barney and David DePaul (Respondents). Case Number: 04-01369 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Victor DeLuca ("V. DeLuca") and Janice DeLuca ("J. DeLuca") hereinafter collectively referred to as "Claimants": J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seymour S. Greenfield (Claimant) v. Deutsche ?Bank Securities, Inc. and Joseph Nachman (Respondents) : Case Number: 04-01368 , Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Seymour S. Greenfield ("Greenfield") hereinafter referred to as "Claimant": George L. Mahr, III, Esq., Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mychal Lahey, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 04-01363 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Mychal Lahey Chico, California For Respondent: Eric J. Classman, Esq. Mennemeier, Glassman & Stroud Sacramento, California CASE INFORMATION

CASE: 04-01355 Kam I. Metcalf, Claimant \. Merrill Lynch Pierce Fenner & Smith, Inc. and Phil McPhail, Respondents ATTORNEYS: Claimant, Kam I. Metcalf, ("Claimant"), appeared Pro Se, New York, NY. Respondents, Merrill Lynch Pierce Fenner & Smith and Phil McPhail, ("Respondents"), appeared through their in-house counsel, Craig Vollono, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person. DATE FILED: February 27, 2004. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas G. Weaver IRA (Claimant) v. Citigroup Global Markets. Inc. f/k/a Salomon Smith Barney, Inc. and Matthew L. Lalonde (Respondents) Case Number: 04-01351 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Douglas G. Weaver IRA ("Weaver") hereinafter referred to as "Claimant": Richard A. Joel,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: H.D. Brous & Co., Inc. (Claimant) v. Michael W. Park (Respondent) Case Number: 04-01350 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant H.D. Brous & Co., Inc. hereinafter referred to as "Claimant": Robert A. Giacovas, Esq., Lazare Potter Giacovas & Kranjac, LLP, New York, NY. Respondent Michael W. Park here

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Kaino Hamu, Claimant v. RBC Dain Rauscher, Inc. f7k/a Sutro & Co. Incorporated and Daniel Christopher Horgan, Respondents Case Number: 04-01348 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steven L. Miller, Esq. Law Offices of Steven L. Miller Encino, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick ODonnell, Claimant v. Dean Michael Howefl and Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondents Case Number: 04-01347 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard Yugler, Esq. Landye Bennett Blumstein LLP Portland, Oregon For Respondents: W