NASD Dispute Resolution f^ f?* /*t f ; ^ / a-** ft **\ C U C ! v Ll J Z fifjl, * ! i " /"*! A *- - ufc'i mm -HA & In the Matter of the Arbitration Between: KE^3TR,v ";:;;•; i {;;;:CL ;. Judy Moran, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Respondent Case Number: 02-07377 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mayo Harris and Irene Harris, Claimants v. Lisa A. Detanna, Susan L. Dehen, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., and Morgan Stanley DW Inc., Respondents Case Number: 02-07376 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Alan Jay Harris, Esq. Brad Neufeld, Esq. Harris & Harris, LLP Burbank, California For Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of tV>p Claim ants Pagp Number: 02-07371 Charles Kegans and Pamela Kegans H ff flrif?6 ftfo* Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; and, Deepak D. Raj Public Customer v. Member Firm and Associated Persons Claimants Charles Kegans and Pamela Kegans, hereinafter referred to as "Claimants": Jakes Jordaan, Esq., of the firm of J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07370 Darlene M. Gates, Claimant vs. Merrill Lynch Pierce, Fenner & Smith, Inc. and Brent Hanson, Respondents. ATTORNEYS: Claimant, Darlene M. Gates, ("Claimant") appeared pro se., Brainerd, MN. Respondents, Merrill Lynch Pierce, Fenner & Smith, Inc. and Brent Hanson, (collectively "Respondents") appeared through their in-house counsel, Richard Kelly, Esq., New York, NY. DATE FILED: Dece

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Anita Hankwitz Kastner Revocable Trust and Name of Respondents J. E. Liss & Company, Inc., a/k/aLiss Insurance Financial Services, Jerome E. Liss, Thomas Carter, Carol A. Liss and Laura Liss, f/k/a, Laura Liss-Scott 02-7369 Milwaukee, Wisconsin Nature of the Dispute: Customer vs. Terminated-Member and Associated Persons. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Bordash (Claimant) vs. Roberston Stephens, Inc (Respondent) Case Number:02-07362 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Robert Bordash, hereinafter referred to as "Claimant": Jonathan Sack, Esq., Sack & Sack, New York, NY. Respondent Roberston Stephens, Inc., hereinafter referred to as "Respondent": Mary P. Cohn, Esq., Bingham McCutchen LLP

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Vicari, (Claimant) vs. T.D. Waterhouse Investor Services, Inc., (Respondent) Case Number: 00-04217 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Michael Vicari, hereinafter referred to as "Claimant", appeared pro se. Respondent, T.D. Waterhouse Investor Services, Inc., hereinafter referred to as "Respondent": Janis Campanella, Esq., Assistant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Kenneth A. Barton (Claimant) v. First Security Van Kasper (Wells Fargo Van Kasper), Wayne Lourenco, and Franklin Vande Kasper (Respondents) Case Number: 02-07348 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Dr. Kenneth A. Barton ("Barton") hereinafter referred to as "Claimant": Anthony J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07347 George F. Koch, claimant vs. TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimant appeared pro se, St. Petersburg, FL. For Respondent appeared in-house counsel, Janis Campanella, Boca Raton, FL. DATE FILED: December 5, 2002 CASE SUMMARY: Claimant alleged that respondent gave him invalid information regarding trades in his account. Claimant maintained that because

v l Stipulated Award NASD Dispute Resolution In the Matter Thomas V. Haas Name of the Respondents RBC Bain Rauscher, Inc., Robert W. Bftird & Co., lac., Clinton R Wilson, Donald A. Decker, John R. Stengel, III, and Raymond James Financial Services, Inc. CaseNumber: 02-07346 Hearing Site: Chicago, lUJpois- N ATUlfeE OF THE DISPUTE Customs v. Associated Person OF Sander L. Grossman, Esq., with Law Offices located in Chi