Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy Rutledge and Jacqueline Rutledge (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Robert Fish (Respondents) Case Number: 03-01694 Hearing Site: City, State Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Timothy Rutledge ("T. Rutledge") and Jacqueline Rutledge ("J. Rutledge") hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: R.E.A.L. Seal Company, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Dean L. Welsh, Respondent Case Number: 03-01691 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01689 Oreatha Farley Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. John D. Letourneau Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Oreatha Farley, hereinafter referred to as "Claimant": David D. Davis, Hankin, Persson, Davis McClenat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: M*™» nf tho riatrrtant CA< « Nimiher 03-01688 King Contracting, Inc. Name nf th* Pegprmdents Hearing Site* Baltimore, MD Ferris, Baker Watts, Inc. Brenda Ann Betz Nature of the Dispute: Customer vs. Member and Associated Person. RF.PKFSF.NTATTON OF PARTIES Claimant, King Contracting, Inc. ("Claimant*) was represented by Michael J. Collins, Esq., Thomas & Libowitz, P.A., B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jo An Benzei, Claimant v. Morgan Stanley DW, Inc. and David A. Sanford, Respondents Case Number: 03-01685 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Franklin Geerdes, Esq. Geerdes & Geerdes Valley Center, California For Respondent: David Z. Seide, Esq. Morgan Stanley DW, Inc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rita Metzger vs. 03-01679 Milwaukee, Wisconsin Name of Respondent Bane One Securities, Inc. Nature of the Dispute: Claimant vs. Member. REPRESENTATION OF PARTIES Rita Metzger, ("Claimant"), was represented by Stephen S, Berkeley, Esq., of Shaheen, Novoselsky, Staat & Filipowski, located in Chicago, Illinois. Bane One Securities, Inc., ("Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard and Joyce Feinberg and 03-01676 Tucson, Arizona Name of Respondents A.G. Edwards & Sons, Inc. Lester A. Stair Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Richard and Joyce Feinberg ("Claimants") were represented by Herbert Beigel, Esq., Herbert Beigel & Associates, LLC, Tucson, Arizona. A.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Grace Conrad, by and through Rita M. Liechty, Trustee of the Grace N. Conrad Living Trust v. Case Number: 03-01675 Hearing Site: Southfield, Michigan Respondents USAIIianz Securities, Inc. a/k/a LIFEUSA Securities Inc., Jefferson Pilot Securities Corporation, Jefferson Pilot Financial, James J. Morrison, and James J. Morrison & Associates And Cross-Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jonathan Rapore, Trustee of the Jonathan Rapore APC Pension Plan, Jonathan Rapore, Individually, IRA/FBO Jonathan Rapore, IRA/FBO Deborah Rapore, and Jonathan Rapore as Trustee of the Bettie Rapoport Trust of 1999, Claimants v. Royal Alliance Associates, Inc., Robert L. Levine, and Joseph R. Neri s Respondents Case Number: 03-01671 Hearing Site: Los Angeles, California Natur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacobus Raven and Hendrika Raven, Trustees of The Raven Family Trust U/A dated 6/6/94, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Richard B. Sladek, Respondents Case Number: 03-01670 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Mitchell S. Ostwald, Esq. The Law