Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Jorgenson, Trustee of the W. Turnbull Trust U/A did 2/26/91, Claimant v. Salomon Smith Barney Inc., now known as Citigroup Global Markets Inc., Respondent Case Number: 03-Q7919 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Brian L. Zagon, Esq. Resolution Law Group P.C. Lafayette, California

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Javier Kuehnle Elizabeth Duggan Arthur Stiefel Case Number- 03-07917 Merrill Lynch, Pierce, Fermer & Smith, Inc. Charles William Moffitt, IH Hearing Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. RRPRF.SF.NTATTON OF PARTTRS Claimants, Javier Kuehnle ("Kuehnle"), Elizabeth Dugga

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC vs. 03-07914 Omaha, Nebraska Name of Respondent Michael J. Riddle NATURE OF THE DISPUTE Member Firm vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Robert C. Scremin, Esq., of Kane & Fischer, Ltd., Chicago, Illinois and James Pekelder, Esq., of Wachovia Securities, L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry Adams and Nancy Adams (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-07913 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Larry Adams ("L. Adams") and Nancy Adams ("N. Adams") hereinafter collectively referred to as "Claimants": Jay R. McDaniel, Esq., Sichenzia Ross

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Legg Mason Wood Walker, Incorporated, Claimant Vs. Jeffrey M. Sullivan, Respondent Case Number: 00-01595 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Legg Mason Wood Walker, Incorporated referred to as "Legg Mason" was represented by Sheila Mosmiller Vidmar, Esq. of the Firm Legg Mason. Respondent, Jeffrey Sullivan hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dan Rotta (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-07912 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Dan Rotta ("Rotta") hereinafter referred to as "Claimant": Robert B. McKay, Esq., Carney & McKay, Garden City, NY. Respondent Merrill Lynch, Pierce, Fenner & Smith, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mitchell R. Stafrnan (Claimant) v. HSBC Securities (USA) Inc. (Respondent) Case Number: 03-07910 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mitchell R. Stafman ("Stafrnan") hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., Law Offices of Kevin T. Hoffman, Greenwich, CT. Respondent HSBC Sec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gladys P. Gifford (Claimant) v. Raymond James and Associates, Inc. (Respondent) Case Number: 03-07908 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Gladys P. Gifford ("Gifford") hereinafter referred to as "Claimant": John E. Sutherland, Esq., Brickley, Sears & Sorett, P.A., Boston, MA. Respondent Raymond James

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07907 Frederick L. Chambers Names of the Respondents Hearing Site: Tampa, Florida UBS Financial Services, Inc. Stephen Murray Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frederick L. Chambers, hereinafter referred to as "Claimant": W. Reynolds Allen, Esq., Allen, Norton &

-i: NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07888 Jeffrey R. Chicola, Claimant vs. Wainwright Messam, Respondent. ATTORNEYS: For Claimant, Jeffrey R. Chicola, ("Claimant") appeared M. David Sayid, Esq., of the firm Sayid and Associates LLP, New York, NY Respondent, Wainwright Messam, ("Respondent") appeared pro se, Jamaica Estates, NY. NATURE OF DISPUTE: Associated Person v. Associated Person. DATE FILED: November 4, 2003.