AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Stifel, Nicolaus & Company, Inc. (Claimant) vs. William Nelson (Respondent) Case Number: 03-00509 Situs: Cincinnati, Ohio > _ Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Stifel, Nicolaus & Company, Inc., hereinafter referred to as "Claimant": Kelly S. Karase, Esq., Blackwell Sanders Peper Martin, LLP 5 St. Louis, MO. Respondent did n

Award NASD Dispute Resolution In the Matter i f the Arbitration Between: Mark A. Latina (Claimant) v. Trident Partners, Ltd., Anthony Koulouris, and Nicholas Tsikitas (Respondents) Case Number: 03-00508 . Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Mark A. Latina ("Latina") hereinafter referred to as "Claimant": Joseph L. Demeo, Esq. and Kimberly Dunn Spelm

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert K. Lowrie Name of Respondents Dain Rauscher Incorporated and Robert W. Mohs 00-04343 REPRESENTATION For Claimant: Robert K. Lowrie was represented by Thomas Ward of Lake Forest, Illinois For Respondents: Dain Rauscher Incorporated, n/k/a RBC Dain Rauscher and Robert Mohs were represented by Ronald P. Kane of Kane & Fischer, Ltd

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00502 James M. Gorman Name of the Respondents Hearing Site: Kansas City, Missouri Citigroup Global Markets, Inc. and Stanley J. Kuzia, Jr. Type of Controversy: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant James M. Gorman ("Gorman") was represented by Diane A. Nygaard, Esq. of the Nygaard Law Firm lo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number! 03-00495 Dagmar E. Bazzoni Revocable Trust dtd. 10/13/93, Dagmar E. Bazzoni, Trustee, Richard A. Bazzoni Marital Trust dtd. 8/10/99, Dagmar E. Bazzoni and Scott R. Jones, Trustees, and Richard A. Bazzoni Family Trust dtd. 8/10/99, Dagmar and Scott R. Jones, Trustees, Michael Bazzoni and Michael Bazzoni IRA, Name, nf the. Respondents Hearing

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Eric S. Krafft as Trustee for the Eric S. Krafft IRA and Case Number: 03-00494 Hearing Site: Chicago, IL Names of Respondents UBS PaineWebber, Inc., and Sandra Roberts NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Eric S. Krafft, Trustee for the Eric S. Kraffl, IRA ("Claimant") was represented by Stua

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joanne Z. Thies, individually, Joanne Z. Thies Trustee for the Joanne Z. Thies Heritage Trust, Claimants v. Paulson Investment Company Inc. and Peter Chaisson Jones, Respondents Case Number: 03-00490 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard M. Layne, Esq. Layne & Lewis LLP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number 03-00486 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney., Inc. Name nf the Respondents Hearing Site: Philadelphia, PA Janney Montgomery Scott LLC Jan Peter Cummins Peter Rowan Cummins Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Citigroup Global Markets, Inc., f/k/a Sa

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Loras and Carol Auderer vs. Donald & Co. Securities, Inc. and Bruce L. Troyer Case Number: 03-00485 SITUS: St. Louis, Missouri NATURE OF DISPUTE: Customer v. Terminated Member and Associated Person REPRESENTATION OF PARTIES: Loras and Carol Auderer, hereinafter referred to as "Claimants": Todd A. Strother, Esq. and Stacie Codr, Esq. of the law firm Bradshaw, Fowler, Procter & Fa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Anthony Weiss Name of Respondents Credit Suisse First Boston Corporation, Frank Quattrone and Elliot Rogers Case Number: 03-00481 Hearing Site: Dallas, Texas NATURE OF DISPUTE Public Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Anthony Weiss (hereinafter referred to as "Claimant") was represented by Jakes