Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. and Joan C. Davis, Claimants v. RBC Dain Rauscher Inc., D.A. Davidson & Co., John G. Fenton, and Andrew N. Hennen, Respondents Case Number: 03-01231 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants Robert W. and Joan C. Davis: Patrick L. Hinton, Esq. Curtis Hinton, PL

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Steve Herman, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Linda P. Elliott, Respondents Case Number: 03-01230 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Deborah A. Klar, Esq. Liner Yankelevitz, Sunshine & Regenstreif LLP Los An

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David J. Boczar (Claimant) v. BPC Group, Inc., Bryant Park Capital, Inc., CRA Group, L.P., Capital Resource Holdings, LLC, VIP Management Corp., Value Investing Partners, Inc., Kevin R. Greene, Joel Magerman, VI Partners I, LLC, and VI Partners II, LLC (Respondents) Case Number: 03-01224 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Members, Non-Member

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01222 Robert Guerin and Albert Markman Peters, Claimants vs. Julio O. Ramirez, Respondent. ATTORNEYS: For Claimants, Robert Guerin and Albert Markman Peters, (collectively "Claimants") appeared Brian D. Donnelly of the Law Offices of Dressier, Amery & Ross, P.C. New York, NY. Respondent, Julio O. Ramirez, ("Respondent") did not submit a response to the Statement of Claim. DATE FILED: Feb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hansel Y. Fujino, individually and as Trustee of Oahu Metal & Supply, Ltd. Profit Sharing Plan and Retirement Trust and Ellen S. Fujino, Claimants v. Raymond James Financial Services, Inc. and Mario K.M. Yim, Respondents Case Number: 03-01219 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants ( Case Number: 03-01218 Audrey Gould ,, , Georgeanne Moss Ellen Gould Baber ' Name nf the Respondent Hearing Site: Philadelphia, Pennsylvania Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Persons v. Member. i RFPRFSTTNTATTON OF PARTTFS Claimants, Audrey Gould ("A. Gould"), Georgeanne Moss ("G. Moss") and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01216 Richard G. Brindisi Name of the Respondent Hearing Site: Boca Raton, Florida Goldman Sachs & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard G. Brindisi, hereinafter referred to as "Claimant": Michael Lynch, Esq., Hooper & Weiss, LLP, Orlando, Florida. For Goldman Sachs & Co., Inc., he

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Magda Bondy and Sandra Peters (Claimants) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and David Yvars, (Respondents) Case Number: 03-01215 Hearing Site: New York. New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Magda Bondy ("Bondy") and Sandra Peters ("Peters") hereinafter collectively

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Dowse, Individually and as Custodian for Melissa Dowse, and Marieanna Dowse, Individually and as Custodian for Peter Dowse, Claimants v. Goldis Financial Group, Inc., Paul Haney and Michael Alfred Goldis, Respondents Case Number: 03-01207 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf Claimant Pase Number- 03-01201 Ronald R. Ronallo, IRA Names nf Respondents Hearing Site- Pittsburgh, PA James M. Durkin, Robert A. Moffett, Jr. and A.G. Edwards & Sons, Inc. Nature of dispute: Customer vs. Associated Persons and Member RF.PRFSFJVTATTON OF PARTIES Claimant, Ronald R. Ronallo, hereinafter referred to as "Claimant", was represented by Ric