Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ruth Singer (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Theodor Berger (Respondent) Case Number: 03-08572 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ruth Singer ("Singer") hereinafter referred to as "Claimant": A. Daniel Woska, Esq., Woska & Hayes, L.L.P., Oklahoma City,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David Charles Diedrich and 03-08567 Phoenix, Arizona Name of Respondents SunAmerica Securities, Inc. Frank M. Brown Jeffrey F. Thompson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES David Charles Diedrich ("Claimant") was represented by Paul Roshka, Esq. and James M. McGuire, Esq., Roshka Heyman &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: p. of the Claimant rasa Number. 03-08566 William D. Amoss Names nf the* Respondents Hearing Site' Baltimore, MD UBS PaineWebber, hie. n/k/a UBS Financial Services, Inc. Frank E. McDermott The McDermott Group, L.L.C. Stephen McDermott Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Member. RFPR-RSFNTATTON OF PARTTFS Claimant William

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dorothy L. Renz Names nf the Respondents JJ.B. Hilliard, W.L. Lyons, Inc. Yueh Walker Case Number; 03-08565 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PAttTTF.S Claimant, Dorothy L. Renz ("Renz"), hereinafter referred to as "Claimant", was represented by Thomas

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08560 Martin J. Sobczak TTEE FBO Martin J. Sobczak Trust, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Martin J. Sobczak TTEE FBO Martin J. Sobczak Trust, ("Claimant"), appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc. f/k/

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:03-08558 Richard Williams, Claimant v. Jack B. Grubman and Citigroup Global Markets, Inc. f/k/a Salomon Snath Barney, Inc., Respondents. ATTORNEYS: ~~ For Claimant, Richard Williams, ("Claimant"), appeared Joel S. Finkelstejn, Esq., of the fin» Finkelstein & Partners Newburgh, NY. For Responded, Jack B. Grubman and Citigroup Global Markets, Inc. fflk/a/ Salomon Smith. Barney, Inc. {"Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08555 Mary Frances Hillis, Claimant v. Morgan Keegan & Company, Inc., Respondent. ATTORNEYS: For Claimant, Mary Frances Hillis, ("Claimant"), appeared her son-in-law, Robert L. McBride, Spicewood, TX. Respondent, Morgan Keegan & Company, Inc., ("Respondent"), appeared through their in-house counsel, Shea O'Brien Hicks, Esq., Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FIL

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Menashe (Claimant) v. Prudential Equity Group, LLC f7k/a Prudential Securities, Inc. and Andrew Wolff (Respondents) Case Number: 03-08551 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David Menashe ("Menashe") hereinafter referred to as "Claimant": Robert J. Valli, Jr., Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David G. Pinosky, M.D. Trustee of the David G. Pinosky, M.D. Trust Dr. David G. Pinosky IRA Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Michael Pavloff Case Number: 03-08550 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTA

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mernice Aikire and 03-08547 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Constance B, Thomas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Mernice Aikire ("Claimant") was represented by Scott R. Shewan, Esq., Born Pape & Shewan, L.L.P., Clovis, Cal