AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Joy Northam v. Case Number: 03-01110 Hearing Site: Troy, Michigan Respondent/Counter-Claimant ABN AMRO Financial Services and Third-Party Claimant ABN AMRO Financial Services v. Third-Party Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, inc. NATURE OF DISPUTE Customer v. Member, Member v. Customer,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Kathleen A. McLarn v. 03-01108 Minneapolis, Minnesota Respondents RBC Dain Rauscher, Inc. and Cinda J. Collins Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Kathleen A. McLarn ("Claimant") was represented by Paul M. Floyd, Esq., of Wallen Friedman & Floyd, P.A., Minneapolis, Minnesota. RBC Dain Rauscher, Inc. ("RBC"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant William E. Kossian v. 03-01106 Denver, Colorado Respondents Janney Montgomery Scott, LLC and Jeffrey J. Britt Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES William E. Kossian ("Claimant") was represented by Martin M. Berliner, Esq., of Berliner McDonald, Greenwood Village, Colorado. Janney Montgomery Scott, LLC ("JM

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne H. Van Buren, The Van Buren Irrevocable Life Insurance Trust dated 10/17/97, Nathan Dane III, Successor Trustee, The Anne Hagopian Van Buren Irrevocable Life Insurance Trust dated 1/19/99, Philip R. Van Buren and Thomas P. Van Buren, Successor Trustees, and The Anne H. Van Buren Irrevocable Trust dated 2/9/99 (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Castro (Claimant) v. HSBC Brokerage (USA), Inc., Thomas Joseph Furey, III, and Ann Idette Camayd (Respondents) Case Number: 03-01096 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Steven Castro ("Castro") hereinafter referred to as "Claimant": Franciscus A. Ladejola-Diaba, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Luther G. Gilford and Names of Respondents Comerica Securities and Michael Mass Case Number: 03-01095 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Luther G. Gilford ("Claimant") appeared in pro per. Vera E. Gilford, Esq. appeared on behalf of Claimant for the hearin

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bobbie Marie Mezei and 03-01094 Nashville, Tennessee Name of Respondent Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Bobbie Marie Mezei ("Claimant") was represented by H. Naill Falls, Jr., Esq. Falls & Veach, Nashville, Tennessee. Salomon Smith Barney, Inc. n/k

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert L. Huwiler and Ruth Huwiler and 03-01092 Milwaukee, Wisconsin Name of Respondents Prentice Securities, Incorporated Louis M. Kornman Melvyn E. Panzer Spencer D. Thomas Michael Edward Tierney Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Robert L. Huwiler and Ruth Huwiler ("Claimants")

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Maximum Financial Group, Inc. and 00-04428 Southfield, Michigan Vito Van REPRESENTATION OF PARTIES Maximum Financial Group, Inc. ("Claimant") was represented by Edward J. Bardelli, Esq., Warner, Norcross & Judd LLP, Grand Rapids, Michigan. Vito Van ("Respondent"): Pro Se. Respondent was represented by Dennis J, Levasseur, Esq., Bodman, Longley & Dahling, LLP, Detroi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name f>f the Claimants rflgeNnmhei- 03-01088 Vicki Jo Keating Christopher Stinson Name of the Respondents Hearing Site- Baltimore, Maryland Citigroup Global Markets, Inc fk/a Salomon Smith Barney, Inc. Catherine Lynne Smith Wachovia Securities, Inc. Nature of the Dispute: Customer vs. Members and Associated Person. RKPRFSFATTATTON OF PARTIES Claimants, Vicki Jo Keati