AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert Rietzler and Case Number: 03-08806 Hearing Site: Southfield, Michigan Respondents Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Wachovia Securities, LLC, and Ronald M. Pruette NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Robert Rietzler ("Claimant") was represented by Anthony V. Trogan,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ann Dickman v. 03-08805 Denver, Colorado Respondents Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney Inc., and John Quinlan Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Ann Dickman ("Claimant") was represented by Chad P. Hernmat, Esq., Anderson, Hemmat & Levine, L.L.C., Denver, Colora

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marjorie A. Thomas, Claimant v. RBC Dain Rauscher Inc. and Gregg L. Ceaser, Respondents Case Number: 03-08803 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: A. Daniel Woska, Esq. Woska & Hayes, L.L.P. Oklahoma City, Oklahoma For Respondents: Jonathan M. Harris, Esq. Lin

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant i Edward L. Lindquist and Names of Respondents Bane One Securities Corporation and Jeffrey L Ad kins Case Number: 03-08802 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Edward U Lindquist ("Claimant") was represented by Wesley A. Gersh, Esq., Morris, G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Thomas E. Richardson and Linda S. Richardson v. 03-08801 Denver, Colorado Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Nature of Dispute: Customers v. Member OF PARTIES Thomas E. Richardson and Linda S. Richardson ("Claimants") were represented by Gregory M. O'Boyle, Esq., of Muliiken, Gleason, Weiner, Whitney & Jolivet, P.C., Colorado Springs, Color

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Lyle W. Tamayo, IRA, and Caroline Tamayo, IRA and 03-08800 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Robert L. Breen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Lyle W. Tamayo, IRA, and Caroline Tamayo ("Claimants") were represented by David Lieb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant John A. Whitehead Names of tbfi Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Jeffrey Gembis fljtfi Number 03-08796 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, John A. Whitehead, hereinafter referred to as "Claimant", was represented by Andre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pamela Sage and Yale Sage, JTWROS, (Claimants) v. Salomon Smith Barney, Inc (Respondent) Case Number: 00-01699 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Pamela Sage and Yale Sage, JTWROS ("Sage"): pro se Respondent Salomon Smith Barney, Inc. ("Salomon Smith Barney"): Etta M. Gumbs, Esq., Salomon Smith Barney: New York, New York CASE INFORMA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants C.S\R& Number 03-08794 Forbes Maner as Trustee for the Hilmar Tharp Sallee Charitable Trust and Hihnar Tharp Sallee Education Trust Names nf the Respondents Hearing Site: Washington, D.C. Morgan Stanley DW, Inc. John Trocchio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Forbes

XASD DISPUTE RESOLUTION AWARD NASD DISPUTE ttESOLUTJOEL _ CASE: 03-08792 EhiefiJcraatz King Nussbaiun, Inc,, Claimant v. Maifc R. Bolognini, Respondent. ATTORNEYS; For Claimant, Ehrenkratto King Nussbaum, Inc., ("Claimant''), appeared Michael S. Colombo, of Streetwkte Asset Recovery Group, Inc., Lyndburst* NJ. Respondent, Mark R. Bolognini, ("Respondent"), did not enter an appearance in this matter. NATURE OF DISPUTE: ^fember v "Associated Person DA