Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Stifel, Nicolaus & Co., Inc. Name nf the Respondent Jacqueline Quicksilver Case Number 03-08392 Hearing Site: St. Louis, Missouri Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Stifel, Nicolaus & Co., Inc. ("Stifel"), hereinafter referred to as "Claimant": Jeffrey S. Jamieson, Blackwell Sanders Peper Marti

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) v. Joseph M. Morrissey (Respondent) Case Number: 03-08382 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc. ("UBS") hereinafter referred to as "Claimant": Anthony J. Borrelli, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Citardi and Carmela Citardi (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Alan Jeffrey Cohen (Respondents) Case Number: 03-08379 HearinR Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Joseph Citardi ("J. Citardi") and Carmela Citardi ("C. Citardi"), hereinafter

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants William J. Wagner Profit Sharing Plan and Susan Wagner and Names of Respondents Citigroup Global Markets, Inc., and Thomas M. Kueht Case Number: 03-8375 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES William J. Wagner Profit Sharing Plan and Susan Wagner ("Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jong Chill Sun (Claimant) v. MONY Securities Corporation and Thomas Mingone (Respondents) Case Number: 03-08373 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jong Chill Sun ("Sun") hereinafter referred to as "Claimant": Christine Bae, Esq., Law Offices of Bae & Associates, P.C., New Yor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08371 Matt D. Cannon & Carol Cannon JNT, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Matt D. Cannon and Carol Cannon JNT, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08370 E*Trade Securities, LLC Name of the Respondent Hearing Site: Chicago, Illinois Paul Makowiecki NATURE OF THE DISPUTE Member Firm v. Customer REPRESENTATION OF PARTIES John Bersin, Esq., in-house counsel for ETrade Securities, LLC represented Claimant. Respondent Paul Makowiecki did not appear CASE INFORMATION Claimant fi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08369 Tony F. Brummond, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Tony F. Brummond, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, ("Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: E*Trade Securities LLC, Claimant v. Conrad Trigilio, Respondent Case Number: 03-08368 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: John Bersin, Esq. E*Trade Securities LLC Rancho Cordova, California For Respondent: Conrad Trigilio In Propia Persona Arcadia, California CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martin B, Gelber and Michela Gelber, Claimants v. Washington Mutual Financial Services n.k.a. WM Financial Services, Inc. and Michael Padilla, Respondents Case Number: 03-08362 Hearing Site: Los Angeles, California Nature of the Dispute: Claimants v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents: Joseph L. Shalant, Esq. Joseph