NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00268 Walter B. Smith and Marilyn G. Smith JTWROS, Claimants v, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Walter B. Smith and Marilyn G. Smith JTWROS, ("Claimants"), appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00263 Howard & Elizabeth Fribush JNT, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent,, ATTORNEYS: For Claimant, Howard & Elizabeth Fribush JNT, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL, For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Lawrence D. Ross, Esq., of the firm Bre

OS/,19/02 MON 12:57 FAX _NASD REGULATION ^1017 Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: WILLIAM and SHIRLEY MORGAN, and KEVIN and KELLY SULLIVAN, Claimants, vs. EAST-WEST CAPITAL CORPORATION and DONALD G. TERNS, Respondents. Case Number: 00-05566 Hearing Site: Southfield, Michigan Claimants William Morgan, Shirley Morgan, Kevin Sullivan and Kelly Sullivan/. ("Claimants,") we

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names rvf the Claimants Case Numherr 04-00261 Judith A. and Hugh J. Mumford Names of the Respondents Hearing Site! Pittsburgh, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Eric W. Harding Nature of the Dispute: Customers vs. Member and Associated Person RFPRFSFNTATTON OF PARTIES Claimants, Judith A. and Hugh J. Mumford, hereinafter collectively referred to as "C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: lone M. Kjelstrom, IRA, lone Kjelstrom Revocable Living Trust, and lone Kjelstrom Irrevocable Trust c/o lone Kjelstrom, Trustee, Claimants v. Citigroup Global Markets Inc., Respondent Case Number: 04-00253 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Thomas A. Hargett, Esq. Maddox Hargett & Caruso, P.C.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas E. Krantz Case Number: 04-00252 and Hearing Site: Chicago, Illinois Names of Respondents Prudential Equity Group, LLC and Gerald A. Evans NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Thomas E. Kranz ("Claimant") was represented by Andrew Stoltmann, Esq., of the Stoltmann Law Offic

Award NASD Dispute Resolution In the Matterjrfthe Arbitration Between: Name of the Claimant Case Number: 04-00249 UBS Financial Services, Inc. i Names of the Respondents Hearing Site: Memphis, Tennessee John D. Santi, Sr. Jonathan A. Barrack Jonathan Bell Kathy H. Briner Jason J. Fair Larry J. Goldsmith Charles G. Hughes Stanford Group Company Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Beverly Brean Name of the Respondent American Express Financial Advisors, Inc. Case Number: 04-00246 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beverly Brean, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, LLP, Plantation, Florida.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ronald Doornbosch, individually and as Trustee of the Doornbosch Family Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Christopher Hall Case Number: 04-00237 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald Doornbos

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Kenneth A. Woloszyk and Roxanna ("Roxanne") M. Woloszyk and Case Number: 04-00231 Hearing Site: Troy, Michigan Respondents •,' ' ' Fifth Third Securities, Inc.', Morgan Stanley DW, Inc., Jacqueline a/k/a Jaquline A. Antone, James Gordon Riley, and Theodore J. Vogt, Jr. ' _^_ . NATURE OF DISPUTE Customers v. Members and Associated Persons .. ' •