Award n] OCT 15 2003 NASD Dispute Resolution jj Q ^J V In the Matter of the Arbitration Between: Denny Paul Primeaux, Case Number: 02-05172 Claimant, vs. NY Life Securities, Inc., Hearing Site: Houston, Texas Respondent and Cross-Claimant, vs. John Stephen Blount, Respondent and Cross-Respondent. REPRESENTATION OF PARTIES Claimant Denny Paul Primeaux, hereinafter referred to as "Claimant," was represented by Thomas Allen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seymour Goldenberg, IRA; Sonya Goldenberg, IRA; Seymour Goldenberg & Sonya Goldenberg (Claimants) vs. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets and Anthony Parisi (Respondents) Case Number: 02-05167 Hearing Site: New York, New York •f Nature of Dispute: Public Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Seymour Goldenberg,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05166 Domenic J. Grano and Jeanne L. Grano, claimant vs. Brian Burns and Merrill Lynch, Pierce, Fenner and Smith Inc., respondents. ATTORNEYS: Claimants appeared pro se through Domenic Grano, Sparta, NY. For Respondents appeared in-house counsel, Richard N. Kim, Esq., New York, NY. DATE FILED: September 3, 2002 CASE SUMMARY: Claimants alleged that respondents failed to timely sell their

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Elizabeth Ann Cabanas and Names of Respondents A.G. Edwards & Sons, Inc. and Marshall D. Stein Case Number: 02-05156 Hearing Site: Houston, Texas NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Elizabeth Ann Cabanas ("Claimant") was represented by Ronald H. Thrash, Esq., Shepherd, Smith & Bebel,

Award NASD Dispute Resolution Li the Matter of the Arbitration Between: Name nf thft Claimant Case. Number 02-05 15 1 Fielding S. Daniel as Trustee of the Fielding S. Daniel Revocable Trust Name nf the Respondents Hearing Site: Washington, DC Wachovia Securities, Inc. R.Craig White Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRRSF.NTATTON OF PARTIES Claimant, Fielding S. Daniel as Trustee of the Fielding S. Daniel Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05148 Bobby Scott Names of the Respondents Hearing Site: Atlanta, Georgia Gaines Berland Inc. n/k/a Ladenburg Capital Management, Inc. Joseph Michael Angelone, Jr. Vincent Antonio Mangone Mark David Zeitchick Michael Andrew Chakos Ladenburg Thalmann and Co., Inc. REPRESENTATION OF PARTIES For Bobby Scott, hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05147 Norman Gatof, ttee, Norman Gatof, rev trust u/a dtd 4/4/91 Judith Gatof, ttee, Judith Gatof, rev trust u/a dtd 4/4/91 Names of the Respondents Hearing Site: Boca Raton, Florida A.G. Edwards & Sons, Inc. H. Michael Berzon REPRESENTATION OF PARTIES For Norman Gatof, ttee, Norman Gatof, rev trust u/a dtd 4/4/91 ("N. Gatof) and Judith

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Wei, Trustee fbo John Wei MD Inc. Defined Benefit Pension Plan dtd 1-1-83, Claimant v. Torrey Pines Securities, Inc. and William Gunderson, Respondents Case Number: 02-05144 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Gregory Sherwin, Esq. Fields, Fehn & Sherwin Los Angeles

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Corners, Jr. (Claimant) v. Robert K. Mann, Perspective Advisory Company, Advisor's Capital Investments, Inc. and Pacvest Associates, Inc. (Respondents) Case Number: 02-05139 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Claimant John J. Conners, Jr. ("Conners") hereinafter referred t

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Michael Blau (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., and Alfred Friedman (Respondents) Case Number: 02-05138 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Michael Blau ("Blau") hereinafter referred to as "Claimant": Jeffrey Neiman, Esq., Neiman