Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert R. Spencer and Margaret B. Spencer, Claimants v. Piper Jaflray & Co., Michael G. Santoro, and James T. Chandler, Respondents Case Number: 04-00664 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Jack M. Merritts, Esq. Burns, Wall, Smith and Mueller, P.C. Denver, Colorado

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rene Garcia, Claimant vs. Morgan Stanley DW Inc. and Joseph Feinberg, Respondents Case Number: 04-00661 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter, P.C. Encino, California For Respondents: Ronald E. Wood, Esq. The

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00656 =——=_=— Lewis F. Jarrett, II, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: Claimant, Lewis F. Jarrett, II, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, III, Esq

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00655 Daniel Bruce Blum and Helen Yolande Blum TTEE FBO Blum Family Trust, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Michael J. Healey, and Christopher Lazzard, Respondents. ATTORNEYS: Claimant, Daniel Bruce Blum and Helen Yolande Blum TTEE FBO Blum Family Trust, ("Claimant"), appeared pro se, Granada Hills, CA. Respondents, Citigroup Global Markets, In

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00654 Robert C. Kime and Barbara S. Kime, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: Claimants, Robert C. Kime and Barbara S. Kime, ("Claimants"), appeared Pro Se, Van Nuys, CA. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared through their in-house counsel, Ann Parry, Esq., New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Kober, Charles Cardona, and John Cardona (Claimants) vs. James Robert Kelly, Bryan Scott Zimmerman and Sunstate Equity Trading (Respondents) Case Number: 04-00652 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Thomas Kober ("Kober"), Charles Cardona ("C. Cardona") and John Cardona ("J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lazaro M. Mora, IRA v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Peter N. Meme, Frank P. Yacobowsky and Larry N. Ovnicek Case Number: 04-00650 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Lazaro M. Mora, IRA hereinafter referred to as "Claimant": James A. Prestiano, Esq., The Law Offices

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-05599 Apostolic Monastics, Inc., Claimant vs. Solomon Smith Barney, Inc., Respondent. ATTORNEYS: For Claimant appeared Paul Demartini, a.k.a. Father Sergius-Maria, SeCiietary-Econome of Apostolic Monastics,! San Diego, CA. For Respondents appeared Ann Parry, Esq., in-house counsel, New York, NY. DATE FILED: December 19, 2000 CASE SUMMARY: \ Claimant alleged that respondent misre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Perry (Claimant) v. PFS Investments, Inc. (Respondent) Case Number: 04-00646 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Linda Perry ("Perry") hereinafter referred to as "Claimant": Charles S. Wuest, Esq., previously Debra B. Hayes, Esq., Woska & Hayes, L.L.P., Kingwood, TX. Respondent PFS Investments, Inc. ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Century Industries, Inc. Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-00643 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTTES For Century Industries, Inc., hereinafter referred to as "Claimant": Michael G. Smith, Esq., Dover Dixon Home, PLLC, Little Rock