NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00381 Arnold E. Landsman, Claimant vs. Salomon Smith Barney Inc., Respondent. ATTORNEYS: Claimant, Arnold E. Landsman ("Claimant") appeared pro se., Northbrook, IL. For Respondent appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: December 9, 2002 CASE SUMMARY: Claimant alleged that Respondent was negligent in handling his account with regard to "day order only" trade.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles V. Paulson and 03-00372 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Richard Scott Jacobson ' Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Charles V. Pattison ("Claimant") was represented by James C. Frisch, Esq., King, Frisch & Allen, P.C

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i i Claimant Helen Walker v. 03-00369 Minneapolis, Minnesota Respondents Multi-Financial Securities Corporation Gregory J. Welu and Financial Benefit Group, Inc. Nature of Dispute: Customer v. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Helen Walker ("Claimant") was represented by Phillip A. Cole, Esq., of Lommen, Nelson, Cole & S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant : Access Financial Group, Inc. and Case Number: 03-00365 Hearing Site: Chicago, Illinois Name of Respondent Thomas M. Rohrer NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Access Financial Group Inc. ("Claimant" or "Access Financial") was represented by Jennifer Trysna of Access Financial Group, Inc., located in

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William P. Roversi Names of the Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc. Robert Bos Karl A. Ernst CaseNumber:03-00358 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William P. Roversi, hereinafter referred to as "Claimant": John R. K

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Julio Prieto, Sr. and Juanita Prieto Names of the Respondents Morgan Stanley Dean Witter, Inc. and Antoni Lucas Case Number: 03-00354 (Consolidated with 02-07216) Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. In the Matter of the Arbitration Between: Names of the Claimants

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00353 Eiko Hiramoto Smedy Names of the Respondents Hearing Site: Little Rock, Arkansas Prudential Securities, Inc. Alex Muscati, ni Kenneth Charles Quintana Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Eiko Hiramoto Smedy, hereinafter referred to as "Claimant": Stanley T. Pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00352 Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Teshome Bokan, hereinafter referred to as "Claimant": Daniel R. Solin, Esq. and David Valicenti, Esq., Cain Hibbard Myers & Cook, PC, Pittsfield, Massachusetts and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Randy Jay Marks Case No. 00-04330 Names of Respondents Anthony C. Pintsopoulos Frank Nicholas Salvatore William Betta, Jr Anthony Visone Joseph Charles Visconti Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Randy Jay Marks ("Marks"), hereinafter referred to as "Claimant": Russell L. Forkey, Esq., Russell L. Forkey,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00350 Prudential Securities, Inc., Claimant vs. Chulse Park, Respondent. ATTORNEYS: For Claimant, Prudential Securities Inc., ("Claimant") appeared Steven P. Gomberg, Esq. of the firm Rooks, Pitts, Chicago, IL. Respondent, Chulse Park, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: January 14, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed and refu