Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nnme of nV Claimants Case Number 02-07090 Christopher Hidalgo IRA and Christopher Hidalgo as Custodian of the account of Paul C. Hidalgo, UGMA Nnme of nV Respondent Hearing Site- Baltimore, MD Morgan Keegan & Company, Inc. and John Edward Miller m Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Christopher Hidalgo IR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The John F. Bright Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Angela K. Adler and Stephen B. Smith, Respondents Case Number: 02-07085 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Sacramento, California For Respondents: Edw

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William A, Madison Revocable Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Peter D. Brooker Case Number: 02-07082 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For William A. Madison Revocable Trust, referred to as ''Claimant": Austin N. Aaronson, Esq., Aaronson, Austin, P.A., Winter Park, Florid

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04177 Whale Securities Co., L.P. n/k/a Bluestone Capital Corp., claimant vs. John A. Whitsel and Mahendra Shah, respondents. ATTORNEYS: For Claimant appeared David S. Richan, Esq. of the firm Blank Rome Tenzer Greenblatt, LLP Respondent John A. Whitsel appeared Pro Se, New York, NY. Respondent Mahendra Shah did not respond to the Statement of Claim, DATE FILED: September 22, 2000

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Keith E. Dyas and the Dyas Revocable Trust, Keith and Sally Dyas TTEE v 02-07079 Denver, Colorado Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Arthur H. Harter, ffi and Smith Barney Portfolio Management Group Nature of Dispute: Customers v. Member, Associated Person and Non-Member REPRESENTATION OF PARTI

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Michael L. Bernard Bernard Assets, LLC Kristen L. Bernard Casey M. Bernard Ryan E. Bernard Pamela Bernard Dennis Humphrey Micah Lee Bernard > Stephen A. Bernard and 02-07077 Louisville, Kentucky Name of Respondents Prudential Equity Group, LLC f7k/a Prudential Securities Incorporated ' J. Lemoine Patty Nature of the Disput

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07074 UBS Painewebber, Inc., claimant vs. Rochelle Snelson-Simpkins, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: November 21, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the balance on her Platinum Master-Card Debit Card for the rental of a car. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07072 Milestone Financial Services, Inc., Claimant vs. John V. Prinzivalli, Respondent. ATTORNEYS: For Claimant, Milestone Financial Services, Inc., ("Claimant") appeared J. Christopher Albanese, Esq. of American Capital Partners, LLC, Hauppauge, NY. Respondent, John V, Prinzivalli, ("Respondent") appeared pro se., Smithtown, NY. DATE FILED: November 21, 2002 CASE SUMMARY: Claimant alleg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Erna M. Williams, Carole LaRowe, Executrix (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Joseph G. Blanes, Steven W. Torrico, and Michele Crawford for the Estate of Robert Crawford (Respondents) Case Number: 02-07067 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Persons. REPRESEN

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07062 Jerlyn Goldfarb Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Robert Caro Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerlyn Goldfarb ("Goldfarb"), hereinafter referred to as "Claimant": Randall W. Henley, Esq., Randall W. Henl