NASD Dispute Resolution Arbitration No. 00-05643 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Smart, (Claimant) vs. Nomura Securities International, Inc., (Respondent) Case Number: 00-05643 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles Smart, hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, LLP, New York, NY. Respondent, Nomu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00948 CGF Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Maria Fiore Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTI£5 For CGF Securities, LLC, hereinafter referred to as "Claimant" or "CGF': Gary E. Susser, Esq., Law Offices of Gary E. Susser, P.A., Boynton Beach, Florida. Maria

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arlene Rawitscher and Names of Respondents Wachovia Securities, LLC, and Ian Hurwitz Case Number; 04-00938 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Arlene Rawitscher ("Claimant") was represented by Samuel Edwards, Esq., Shepherd, Smith & Edwards, LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "f thft < ":iairrtant Pagff "Murnhfir- 04-00937 Sandra A, Rhoden Hiring Sitf-' Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; and DoDee Frost Crockett O? P. T1TSPTTTF Public Customer v. Member Firm and Associated Person REPRESENT ATTfWf Off P APT|]?R Claimant Sandra A. Rhoden, hereinafter referred to as "Claimant": Charles M. Hamilton, Esq., of the Law Off

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Virginia M. Lazar Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Abbey Ajayi Mike Fuentes Lisa Spada Case Number: 04-00935 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Virginia M. Lazar, hereinafter

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wondewossen Mekbib, Claimant v. UBS PaineWebber, Inc., V. John Threlkeld, and Morgan Stanley Dean Witter, Respondents Case Number: 04-00934 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California For Respondents U

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Woods Hole Endowment Fund and Trustees of the Retirement Trust For Employees of Woods Hole Oceanographic Institution (Claimants) vs. Lipper Holdings, LLC, Lipper & Company L.P., Kenneth Lipper, Abraham Biderman and Edward Strafaci (Respondents) Case Number: 04-0933 Hearing Site: Boston, Massachusetts. Nature of the Dispute: Customer vs. Terminated Member, Non-Member and Associated P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00931 Olga Godwin, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Jack B. Grubman, Respondents. mith Barney, Inc. and ATTORNEYS: For Claimant, Olga Godwin, ("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, ("Respondents"), appe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Filomena C. Peloro (Claimant) v. R. Seelaus Co., Inc. and Kevin J. McLaughlin (Respondents) Case Number: 04-00930 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Filomena C. Peloro hereinafter referred to as ("Claimant"): Richard W. Vallario, Esq., Richard W. Vallario, Esq., Attorney at L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION Case: 04-00929 Philip Sack, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: ~~~ For Claimant, Philip Sack, ("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"),