Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf* Plflimant Case Number 03-00429 Faye B. Parker Name nf the Respondent Hearing Site: Charlotte, NC Citigroup Global Markets, Inc. fk/a/ Salomon Smith Barney, Inc. Nature of the Dispute: Customer v. Member. RF.PRKSFNTATTON OF PARTTF.S Claimant, Faye B. Parker, hereinafter referred to as "Claimant", was represented by Christopher J. McCool, Esq., Joye Law Firm,

Award p'-rriw-- NASD Dispute Resolution rt c ^ E' v h D In the Matter of the Arbitration Between: iv..?-:.v " : :QN £' Jae Eun Na, Claimant v. Hanmi Securities, Inc., Soon-Gwon Bang and Eul Hyung Choi> Respondents Case Number: 03-00426 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Marc 1. Zussman, Esq. Law Offices of Marc I. Zussman Los Angel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00422 Joseph R. Barberio, Claimant vs. Michael McCormick and H&R Block Financial Advisors, Inc. Respondents. ATTORNEYS: Claimant, Joseph R. Barberio, ("Claimant") appeared pro se., Huntington Station, NY. Respondents, Michael McCormick and H&R Block Financial Advisors, Inc., (collectively "Respondents") appeared through their in-house counsel, Howard M. Klausmeier, Esq., Detroit, MI.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Welton IRA (Claimant) v. Merrill Lynch, Pierce, Fermer & Smith, Inc., Domenic Ruggiero, and Vincenzo Costanzo (Respondents) Case Number: 03-00420 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert Welton IRA ("Welton") hereinafter referred to as "Claimant": Philip D. Sever, Esq., The S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. O'Brien Deceased IRA FBO Bess O'Brien (Claimant) v. A.G. Edwards & Sons, Inc., Robert Byrne, and Robert Bagby (Respondents) Case Number: 03-00418 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert J. O'Brien Deceased IRA FBO Bess O'Brien ("O'Brien"), hereinafter referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the f!1flimant fase Number: 03-00437 Dan J. Ferringer Names of flip Kgspnndenfs Hearing Rite.- Pittsburgh, PA William F. Reitz Edward D. Jones & Co. Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTTF.S Claimant, Dan J. Ferringer, hereinafter referred to as "Claimant", was represented by J. Kipp Lukehart, Esq., Lukehart & Lun

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jiun Chi Minn, Claimant v. Charles Schwab & Co., Inc., Respondeni v. Ted Chu, Third-Party Respondent Case Number: 00-04339 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Jiun Chi Minn: For Respondent Charles Schwab & Co., Inc. For Third-Party Respondent Ted Chu: Jiun Chi Minn In Propria Persona Torrance, California Bnmdon K

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00416 Paul Kessler and Alberta Kessler, Claimants vs. Advest, Inc., and Ronald Roberts, Respondents. ATTORNEYS: Claimants, Paul Kessler and Alberta Kessler, ("Claimants"), appeared Pro Se,, Flushing, NY. Respondents, Advest, Inc., and Ronald Roberts, (collectively "Respondents"), appeared through their in-house counsel, Thomas P. Byrne, Esq., Hartford, CT. DATE FTLED:January 17, 2003 CAS

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Andrews (Claimant) v. Citigroup Global Markets, Inc. #k/a Salomon Smith Barney, Inc. and Thomas Cox (Respondents) Case Number: 03-00415 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Andrew Andrews ("Andrews") hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conwa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank M. Lobacz (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., David A. Reiss, and Donald S. Reiss (Respondents) Case Number: 03-00414 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Frank M. Lobacz ("Lobacz") hereinafter referred to as "Claimant": John E. Lawlor,