Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jonathan Crossley, Jr., Claimant v. Henry Blodget and Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondents Case Number: 03-07584 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Randolph W. Urmston, Esq. Hendricks & Lewis Seattle, Washington For Respondent Henry Blodget

Award NASD Dispute Resolution* Inc. In the Matter of the Arbitration Between: David C. Gakenheinier, Claimant v. First Union Securities, Inc., Rick Florn, and Julie Lambert, Respondents Case Number: 00-01553 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David C. Gakenheimer In Pro Per Redondo Beach, California For Respondents: Michael M. Gless, Esq. ; -.:•;,;£• - V-lj ••••^;Uv;;- :-^'- KfiCSal, YoUttg & Logan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07582 Tom M. Sawyer and Mary Ann Davis, Claimants v. SunAmerica Securities, Inc., Respondent. ATTORNEYS: For Claimants, Tom M. Sawyer and Mary Ann Davis, ("Claimants"), appeared Paul A. Mohtares, Esq., of the firm Coins, Underkofler, Crawford & Langdon, Dallas, TX. For Respondent, SunAmerica Securities, Inc., ("Respondent"), appeared Myall S. Hawkins, Esq., of the firm Jenkins & Gilchrist, H

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Jacqueline J. McKay, individually and on behalf of the Jacqueline J. McKay IRA v. 03-07581 Minneapolis, Minnesota Respondents Charles Schwab & Company, Inc., Richard C. Hoyt and Analytics Investment Advisors Nature of Dispute: Customers v. Member and Non-Members REPRESENTATION OF PARTIES Jacqueline J. McKay, individually and on behalf of the Jacqueline J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07576 Judge John R. Burgess, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Judge John R. Burgess, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, HI, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07574 Shepard G. Montgomery, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Shepard G. Montgomery, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, III, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: H & R Block Financial Advisors, Inc., Claimant v. Tribeca Development Group, Respondent Case Number: 03-07563 Hearing Site: San Diego, California Nature of the Dispute: Member v. Non-Member REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California CASE INFORMATION Statement of Claim filed: October 17, 2003 Claimant's Unifor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Josephine Di Sorbo AldoDiSorbo,JTWROS Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Kieran J. Lynch Case Number: 03-07561 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Josephine Di Sorbo and Aldo Di S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07560 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Derek M. Gage Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred to as "Claimant": Donna L. Levy, Esq., Davidson & Grannum, LLP, New York, New York. F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Fredric M. Rosemore Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Sanford Weill Michael Carpenter John Hoffman Kevin McCaffrey Jeffrey Waters Jack Grubman Case Number: 03-07557 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES