NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03^)0830 David R Brackmann ACF Lauren N. Brackrnann U/CA/UTMA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Scott M. Shagrin, Respondents. ATTORNEYS: For Claimant, David E. Brackmann ACF Lauren N. Bracfcmarm U/CA/UTMA, ("Claimant"), appeared Edward W. Ruasey, ffl, of the firm Oswald & Yap, Irvine, CA. For Respondents, Citigroup Global Markets, Inc. f/k/a Salom

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00829 David E, Brackmann ACF Nicholas E. Brackmann U/CA/UTMA, Claimant vs. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., and Scott Shagrin, Respondents. ATTORNEYS: For Claimant appeared Edward W. Russey in, Esq., of the Law Offices of Oswald & Yap, Irvine, CA. For Respondents appeared through their in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: February 4

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant DebbraP. Wolf and 03-00824 Milwaukee, Wisconsin Name of Respondents John Butler and Wachovia Services, LLC. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Debbra Wolf ("Claimant") was represented by John R. Teetaert Esq., of Menn, Teetaert & Beisenstein, Ltd., located in Appleton, Wisconsin. Wachovia Services LLC. ("Wacho

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant ras«» Number 03-00823 Wayne P. Hoffinan Names of the "Respondents Rearing Site: Raleigh, NC Washington Square Securities, Inc. Kenneth E. Smith, m Nature of the Dispute: Customer v. Member and Associated Person. RFPRRSKNTATTON OF PARTIES Claimant, Wayne P. Hoffinan, hereinafter referred to as "Claimant", was represented by Glenn A. Barfield, Esq., Ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arya P. Bhattacherjee, Claimant v. Morgan Stanley Dean Witter (n/k/a Morgan Stanley DW Inc.), Respondent i . ' Case Number: 03-00820 , Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jeffrey E. Essner, Esq. Hopkins & Carley San Jose, California , i Paul D. Allen, Esq. , ' Bingham McCutc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph Arroyo, Claimant v. Bradford Jocobowitz and Interactive Brokers, LLC, Respondents Case Number: 03-00815 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Ralph Arroyo In Propria Persona Perris, California For Respondents: David M. Battan, Esq. Jocelyn Barone, Esq. Intera

Award NASD Dispute Resolution In the Matter oftne Arbitration Between: Names of the Claimants Ronald & Olivia Pickering, Joint Account Ronald A. Pickering Case Number: 03-00814 Names of the Respondents Florida Discount Securities, Inc. Bruce Elliot Rich Fernando Fernandez a/k/a Daniel Fernandez Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00813 Michael Muto Names of the Respondents Hearing Site: Tampa, Florida Chris Marzella Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael Muto, hereinafter referred to as "Claimant", appeared pro se. For Chris Marzella ("Marzella") and Morgan Stanley DW, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00812 Patricia A. Watson, Claimant vs. Brian Sullivan and Bane of America Investment Services, Inc., Respondents. ATTORNEYS: Claimant, Patricia A. Watson, ("Claimant"), appeared pro se, Kennesale, GA. For Respondents, Brian Sullivan and Bane of America Investment Services, Inc., (collectively "Respondents"), appeared Meg Gibbs Cox of the Law Offices of Kennedy Covington Lobdell & Hickman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Vazzano, (Claimant) vs. Gruntal & Co., L.L.C., Barry Baum, and Joseph Fedorko, (Respondents) Case Number: 00-04383 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John Vazzano, hereinafter referred to as "Claimant": Thomas J. Hanrahan, Esq., a sole practitioner, Glen Rock, NY. Respondents, Gruntal & Co., L.L.C. ("Gruntal") and Barry Baum ("Baum")