NASI> DISPUTE RESOLUTION AWARD NASD DISPUTE HEsoLtrnoN , CASE: 0400507 Harold E- Holzcr and ComsudEo Holzer JTWROS, Claimant vs. Citigioup Global Markets, Inc. £(k/a Salomon Smith Bamey, Inc. and Jack B. Grubman, Respondents ATTORNEYS: \ " ~~ For Claimant Harold E. Holzcr and Coosuelo Holzer JTWROS, f^Claimaalf 9 ), appeared Marshall P. Richer, Esq., Finkdstedn & Partners, Albany, NY. For Respondents, Citigroup Global Mazkete, inc ffk/a. Salomon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00506 James A. Gulledge, Claimant v. Morgan Keegan & Company, Inc., Respondent ATTORNEYS: Claimant, James A. Gulledge, ("Claimant"), appeared pro se, Shreveport, LA. Respondent, Morgan Keegan & Company, Inc., ("Respondent"), appeared through in-house counsel, Shea O'Brien Hicks, Esq., Memphis, TN. NATURE OF DISPUTE: Customer vs. Member ~ " " DATE FILED: January 26, 2004. CASE SUMMARY

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marguerite Ryan (Claimant) v. Anthony Otto DeGregorio, Sr. (Respondent) Case Number: 04-00504 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Marguerite Ryan ("Ryan") hereinafter referred to as "Claimant": Virginia K. Sourlis, Esq., Red Bank, NJ. Respondent Anthony Otto DeGregorio, Sr. ("DeGregorio") here

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurel Kerr (Claimant) v. Advest, Inc. and Paul Hipsky (Respondents) Case Number: 04-00501 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Laurel Kerr ("Kerr") hereinafter referred to as "Claimants": Marc Bogatin, New York, NY. Respondent Advest, Inc. ("Advest"): James S. Rollins, Bin

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00496 Edwin B. Clarke Gail N. Clarke Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter PaulRuthfield Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edwin B. Clarke and Gail N. Clarke, hereinafter collectively referred to as "Claimants":

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Charles B. and Elizabeth M. James Name nf the Respondent UBS Financial Services, Inc. CaseNnmher- 04-00486 Hearing Site! Charlotte, North Carolina Nature of the Dispute: Customers vs. Member. KFPRRSKNTTATTON OF PARTTFS Claimants, Charles B. and Elizabeth M. James, hereinafter collectively referred to as "Claimants", were represented by Sarah G.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John Anthony Name of the Respondent J.J.B. Hilliard, W.L. Lyons, Inc. ase. Number- 04-00483 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, John Anthony, hereinafter referred to as "Claimant", was represented by Peter B. Skeel, Esq., Summers, McDonnell, Walsh & Skeel, LLP, Pit

In the Matter of the Arbitration Between: Thomas Byrne, Claimant vs. Robert Palmiere, Respondent Case Number: 04-00482 SITUS: Pittsburgh, PA NATURE OF DISPUTE: Customer v. Associated Person REPRESENTATION OF PARTIES: Thomas Byrne, hereinafter referred to as "Claimant", was represented by Scott A. Lane, Esq., Edgar Snyder & Associates, LLC, Pittsburgh, Pennsylvania. Respondent did not file an answer in this matter. DATE FILED: January 26,2004 CAS

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Eric J. Remjeske v. 04-00480 Minneapolis, Minnesota Respondent RBC Dain Rauscher, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Eric J. Remjeske ("Claimant") was represented by Donald R. McNeil, Esq., of Coleman Hull & Van Vliet, P.L.L.P., Minneapolis, Minnesota. RBC Dain Rauscher, Inc. ("Respondent") was represented by Jon

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Stewart Jackson, TV, individually and as custodian for John Stewart Jackson, V, Andrew Jackson, Madison Sara Mackenzie and Austin Britt Mackenzie; Joanne Jackson, CC Renee Evans, Renee George, Gregory Development, Inc., Stew Jackson Foundation, Inc., Cherlydee Huddleston, Howard E. Huddleston, Jennifer Jackson, Michelle Baere, Claimants, Vs. Kirkpatrick, Pe