NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08213 David Warhit Trust, George Warhit and Sylene Warhit, Trustees, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: For Claimant David Waxhit Trust, George Warhit and Sylene Warhit, Trustees ("Claimant") appeared George Warhit, Esq., of the Law Offices of George Warhit, New York, NY. For Respondent Citigroup Global Markets, Inc. f/k/a. Salo

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 03-08209 Ronald K. Fried and Lorraine Kreahling, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: ""~~ " " ~~ " " " " For Claimants Ronald K. Fried and Lorraine Kreahling (collectively "Claimants") appeared A. Renee Preston, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P. A. Pensacola, FL. For Respondent Merrill Lynch, Pie

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08200 James R. Edmond Names of the Respondents Hearing Site: Atlanta, Georgia Regions Bank Morgan Keegan & Co., Inc. Richard H. Dawkins Nature of the Dispute: Customer vs. Non-Member, Member and Associated Person. REPRESENTATION OF PARTIES For James R. Edmond, hereinafter referred to as "Claimant": Glenn A. Delk, Esq.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Ray Lee and Esther Marie Atkinson and 03-08186 Phoenix, Arizona Name of Respondents 1st Discount Brokerage, Inc. Fiona Wong Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ray Lee and Esther Marie Atkinson ("Claimants") appeared pro se. 1st Discount Brokerage, Inc. ("Respondent 1 st Discount") a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants The Robert Whitlock m Family Charitable Remainder Unitrust, and The Amos Catlin Spafford Family Foundation Name of the Respondent Merrill Lynch Pierce, Fenner & Smith Case Number: 03-08181 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For The Robert Whitlock HI Family Charitable R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salvatore Del Priore and Mary Ann Del Priore (Claimants) v. J.J.B. Milliard, W.L. Lyons, Inc., Schneider Securities, Anthony Dente, John C. Sabo, John Strebb, and Raymond DeRobbio (Respondents) v. Atlantic Group Securities, Inc. (Third-Party Respondent) Case Number: 03-08177 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Members and Associated Persons (Initial Cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura Waite (Claimant) v. Morgan Stanley Dean Witter and Edward MacNeil (Respondents) Case Number; 03-08172 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Laura Waite ("Waite") hereinafter referred to as "Claimant": Arnold Rosenblatt, Esq., Cook, Little, Rosenblatt & Manson PLLC, Manc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thorsten Gigger (Claimant) v. Northeast Securities, Inc., Koenigsberg & Hartzman, Milton Koenigsberg and Michael Hartzman (Respondents) Case Number: 03-08171 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Thorsten Gigger ("Gigger") hereinafter referred to as "Claimant": Ross B. Inte

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Blair Hillman Millar, Claimant v. Prudential Securities, Inc. and J. Michelle Hathaway, Respondents Case Number: 00-01648 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael Huberman Michael Huberman and Associates La Quinta, California For Respondents: Paul M. Foster, Esq. Prudential Securities, Inc. San Francisco, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adrian Coombes, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Scott Edward Smolinsky, Respondents Case Number: 03-08165 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Roy G. Brewer, Esq. Seattle, Washington For Respondents: Joseph B. Genster, Esq. Hillis Clark