Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Florence Bradford Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman Case Number: 03-07738 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Florence Bradford, hereinafter referred to as "Claimant": Joel S.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07737 Dorothy W. Carlson in her capacity as trustee and John Carlson in his capacity as trustee Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dorothy W. Carlson in her capacity as trustee and John C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Edward M. Greenberg, Jr., individually and on Behalf of Edward M. Greenberg, Jr. IRA and GME Family Trust U/A/D 09/01/00 GDM GROUP Names of the Respondents Case Number: 03-07734 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Gerald W.Siegel Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07733 John Candelario Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. f/k/a Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATTQN OF PARTIES For John Candelario, hereinafter referred to as "Claimant": Wayne H. Schwartz. Esq., Blum, Silver & Schwartz, LLP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roger Richman, Claimant v. Citigroup Global Markets, Inc. and Joseph J. Schirripa, Respondents Case Number 03-07729 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Stuart A. Jackson, Esq. Stuart A. Jackson, P.C. New York, New York For Respondents: Samuel A, KeesaL> Esq. Mich

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i * Names nf the Plaimnnts Donald C. Krall Joanne E. Krall Names of thp Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Douglas E. Woolley Nnmher- 03-07728 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. KF.PKKSFNTATTON OF PARTTF.S Claimants, Donald C. Krall and Joanne E. Krall, hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07727 Jerry Locklear, Roth IRA, Claimant v. A.G. Edwards & Sons, Inc. and Philip J. Mouradjian, Respondents. ATTORNEYS: For Claimant, Jerry Locklear, Roth IRA, ("Claimant"), appeared Gerald D. lowers, Jr., Esq., of the firm Suggs & Kelly Lawyers, P.A., Columbia, S.C. For Respondents, A.G. Edwards & Sons, Inc. and Philip J. Mouradjian, ("Respondents"), appeared their in-house counsel, Jam

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dane C. Hansen, as custodian for Christian C. Hansen and Claire M. Hansen, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Charles R. Murphy, II, Respondents Case Number: 03-07726 Hearing Site: Reno, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Shirley Hansen Elk Grove, California For Respon

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants RobertJ. Quist, Lesley C. Ingram, and Gary W. Grover and Names of Respondents Prudential Securities, Inc. and Angela Covo Case Number: 00-01567 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES RobertJ. Quist, Lesley C. Ingram, and Gary W. Grover, hereinafter, c

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irene Wright-Smith, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Thomas M. Watson, Respondents Case Number: 03-07724 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Calvin N. Souther, Jr., Esq. Attorney at Law Lake Oswego, Oregon For Respondents: Lauryn