Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roger Eng, Sr., and Sylvia Eng, individually and as Trustees and on behalf of the Eng Revocable Family Trust, the William Jack Chow and Anne K. Chow Trust C, SFT Properties, LLC, and Dorrey Company, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Penny Huang, Respondents Case Number: 03-01866 Hearing Site: San Francisco, California Nature of the Dispute: Customers v

Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. Scott Creighton (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 03-01864 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant R. Scott Creighton ("Creighton") hereinafter referred to as "Claimant": Richard I. Wolff, Esq., New York, NY. Previously appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-01862 t p • John F. Green, IV and Karen Green i Name of the Respondents Hearing Site: Chicago, Illinois Stifel, Nicolaus & Co., Inc., , and Kevin S. Fitzpatrick , Customer v. Member Firm and Associated Person James Eccleston, Esq. and Stephen S. Berkeley, Esq., cf the firm Shaheen, Novoselsky, Staat & Filipowksi represent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant AHA. Esfahani, M.D. and Respondent Kopp Investment Advisors, Inc. Case Number: 03-01861 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Non-Member REPRESENTATION OF PARTIES Ali A. Esfahani, M.D. ("Claimant") was represented by Anthony R. Paesano, Esq., Beals Hubbard PLC, Farmington Hills, Michigan as of on or about August 12, 2004. Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Doris M. Ardle Namfl g Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc: William F. Dodge . Howard Guggenheim Paul J. Abrams LisaKaye Case Number: 03-01 860 Hearing Site: Philadelphia, PA Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Doris M. Ardle, hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01856 James A. Outlaw Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. TheodoreVaughan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James A. Outlaw, hereinafter referred to as "Claimant": Austin N. Aaronson, Esq., Aaronson, Austin, P.A., Orlan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kaveh S. Shahi and Leslie R. Shahi (Claimants) v. Ascend Financial Services, Inc. and Securian Financial Services, Inc. (Respondents) Case Number: 03-01854 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Kaveh S. Shahi and Leslie R. Shahi ("The Shahis") hereinafter collectively referred to as "Claimants" appea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Gilmartin (Claimant) v. Cantor Fitzgerald Securities and Joseph Kelly (Respondents) Case Number: 00-03560 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Brian Gilmartin ("Gilmartin") hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY. Previously represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terry-Anne Brown, (Claimant) vs. First Union Securities, Inc. (f/k/a/ Everen Securities, Inc. and Kemper Securities and Kemper Clearing Corporation (Respondents). Case Number: 00-00361 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant, Terry-Anne Brown, ("Claimant") Stuart Pack, Esq.: Gorsuch Kirgis, LLP, Denver, Co. Respondents, First Union Securities,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01853 Keith Duffy Name of the Respondent Hearing Site: Boca Raton, Florida ABN-AMRO Nature of the Dispute: Customer vs. Member. REPRESENTATTON OF PARTIES For Keith Duffy, hereinafter referred to as "Claimant": Michael J. Rovell, Esq., Law Offices of Michael L Rovell CHTD, Chicago, Illinois. For ABN-AMRO ("ABN"), hereinafter referred t