Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cross Offshore, L.L.C. Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Amos Keith Katz Case Number: 03-00625 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cross Offshore, L.L.C. ("Cross Offshore"), hereina

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants Marc Bambino Lottie Bambino Revocable Inter Vivos Trust for Marc Bambino Revocable Inter Vivos Trust for Lottie Bambino Case No. 00-04364 Names of Respondents A.G. Edwards & Sons, Inc. Kerry Constantine Geaneas Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Marc Bambino, Lottie Bambino, Revocable Inter Vivos Trust for Marc

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00623 Danny L. Canterbury Names of the Respondents Hearing Site: Tampa, FL Allen & Company of Florida, Inc. Laura J. Hawley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Danny L. Canterbury, hereinafter referred to as "Claimant": Jeffrey A. Froeschle, Esq. and Joseph A. Prob

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph Y. Liu, Claimant v. A.G. Edwards & Sons, Inc. and Mary Carruthers, Respondents Case Number: 03-00618 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: In Propria Persona Norco, California For Respondents: Michael Naccarato, Esq. A.G. Edwards & Sons, In St. Louis, Missouri CASE INFORMATION Statement of Claim filed: January 14, 2003

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Quzi M. Ahmed Names nf the Respondents Salomon Smith Barney, Inc, n/k/a Citigroup Global Markets, Inc. Thomas Harold Clark Katie Clark Number- 03-00611 Site- Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRttSFNTATTON OF PARTIES Claimant, Quzi M. Ahmed, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf th^ Claimants Case Number 03-00606 Mary Giordano, IRA Angela Giordano (Gregory Giordano, Power of Attorney) Mary Giordano and Gregory Giordano, JNT Mary Giordano and Donna Bartolino, JNT Nmne ofthp Respondents Hearing Site' Philadelphia, PA American Wealth Management, Inc. Thomas C. Giordano Nature of the Dispute: Customers vs. Member and Associated Person RF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Zahorsky IRA, Claimant v. Centaurus Financial, Inc. and Douglas Rupiper, Respondents Case Number: 03-00604 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member mid Associated Person REPRESENTATION OF PARTIES For Claimant: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Respondents: Robert C. Rosen, Esq. Rosen & Asso

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00602 David Sieve, as Personal Representative of the Estate of Dee Sieve Names of the Respondents Hearing Site: Tampa., Florida UBS Paine Webber, Inc. Arthur S. Day Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David Sieve, as Personal Representative of the Estate of Dee Sie

I AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Celia Ginnodo, Individually, and as Successor Trustee of the Gunn Family Revocable Living Trust and the Gunn Family Disclaimer Trusts, and Muriel Gunn, Individually and as Former Trustee of the Gunn Family Revocable Living Trust and the Gunn Family Disclaimer Trusts, and as Beneficiary of those Trusts and 03-00601 Chicago, Illinois Names of Re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant RBC Dain Rauscher Inc. and 03-00600 Phoenix, Arizona Name of Respondent Raymond H. Johnson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant") was represented by Terrence J. Reining, Esq. and Sandra S. Smalley, Esq., Lindquist & Vennum P.L.L.P., Minneapolis, Minnesota. Raym