Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-07494 Frank E. Stachyra, Esq., and Ann M. Stachyra Name of the Respondents Hearing Site: Chicago, Illinois Salomon Smith Bamey, Inc., n/k/a Citigroup Global Markets, Inc., and Jack Grubman consolidated with Name of the Claimants Case Number: 03-08719 Frank E. Stachyra, Esq., and Ann M. Stachyra Name of the Respondents Hearing Site

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07526 Legg Mason Wood Walker, Incorporated (Consolidated with 02-07798) Names of the Respondents Hearing Site: Orlando, Florida Anthony Truman John Schaedel In the Matter of the Arbitration Between- Name of tiie Claimant Case Number: 02-07798 Legg Mason Wood Walker, Incorporated (Consolidated with 02-07526) Name of the Respond

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of the Claimants Michael and Hilda Lathrop and Names of the Respondents Prudential Equity Group, LLC, Raymond F. Westegrove and Harmon S. Dickson, Jr. Case Number: 02-07880 Hearing Location: Houston, Texas Consohdated with: Names of Claimants Michael and Hilda Lathrop and Names of Respondents Citigroup Global Markets, Inc., Raymo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07441 Norma J. Johns Revocable Trust Norma J. Johns Michael A. Johns Names of the Respondents Hearinp Site: Tampa, FL InterSecurities, Inc. ProVise Management Group, Inc. ProVise Management Group, L.L.C. National Financial Partners Corp. V. Raymond Ferrara Kimberly L. Adams Nature of the Dispute: Customer vs. Me

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07441 Norma J. Johns Revocable Trust Norma J. Johns Michael A. Johns Names of the Respondents Hearing Site: Tampa, FL InterSecurities, Inc. Pro Vise Management Group, Inc. Pro Vise Management Group, L.L.C. National Financial Partners Corp. V. Raymond Ferrara Kimberly L. Adams Nature of the Dispute: Custo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Thomas Magulski and Sandra Magulski and Name of Respondents 03-00036 Merrill Lynch, Pierce, Fenner and Smith, Inc., Milwaukee, Wisconsin John P.Ver Bockel and Maureen Raihle Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Thomas Magulski and Sandra Magulski ("Claimants") were represented by Michael Schaalam

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03818 Raymond James & Associates, Inc., Claimant vs. Edward R. Taliaferro, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Robert C. Stokes, Esq., St. Petersburg, FL. For Respondent appeared James B.M. Hooper, Esq., Grishman, Knight, Hooper & James, Chattanooga, TN. DATE FILED: July 1, 2002 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed under th

o. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of na^Tnan^^jn| John B. Greenfield. Philip Greenfield and the Greenfield Family Trust Lee Collins Michael Herrera -Christina Menicucci-Lane John Matt Elliott an'* Neal Barry Elliott VB. waTna r.^^ ReBpondent (31 Kober Financial Corporation Michael S. Hughes Robert A. Lopez 90-02085 90-02407 90-02411 90- 025

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(a) John B. Greenfield, Philip Greenfield and the Greenfield Family Trust Lee Collins Michael Herrera -Christina Menicucci-Lane John Matt Elliott an'' Neal Barry Elliott VB . Name of Respondent(a| Kober Financial Corporation Michael S. Hughes Robert A. Lopez 90-02085 90-02407 90-02411 90- 02529 91-

o N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(a) John B. Greenfield, Philip Greenfield and the Greenfield Family Trust Lee Collins Michael Herrera -Christina Menicucci-Lane John Matt Elliott an*" Neal Barry Elliott vs. Name of Respondentta) Kober Financial Corporation Michael S. Hughes Robert A. Lopez 90-02085 90-02407 90-02411 90- 02529