STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Margaret J, Summerville and 03-07040 Phoenix, Arizona Name of Respondents Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Samuel D. Cornell (Counterclaimant) Name of Counterclaim Respondent Stephen E. Summerville Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Margaret Sum

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07038 Roger Davis, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Roger Davis, ("Claimant"), appeared Wm. Jemison Minis, 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., of the firm Mayna

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07036 Jerry M. Turk Individually and as Trustee of the Jerry M. Turk Trust U/A dated 4/18/1995 Names of the Respondents Hearing Site: Tampa, FL Captrust Financial Advisors, LLC Clarence Anderson Cooper James C. Capes Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Jane Gilchrist v. 03-07035 Minneapolis, Minnesota Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Jason Beckman Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Jane Gilchrist ("Claimant") was represented by Jerome S. Rice, Esq., of Jerome S. Rice & Associates, Plymouth, Minnesota. Merrill Lynch Pierce F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James C. Dooley (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-07032 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant James C. Dooley hereinafter referred to as "Claimant": David L. McGee, Esq., Beggs & Lane, Pensacola, FL. Respondent Citigroup Global Ma

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07030 William M. Shephard and Constance M, Shephard Rollover IRAs Names of the Respondents Hearing Site: Tampa, Florida Arthur Mason Rascher Merrill Lynch Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For William M. Shephard and Constance M. Shephard Rollover IRAs, hereinafter colle

NOU-23-01 10=23 FROM=NASD DISPUTE RESOLUTION 6132677 ID=6132B77 PAGE Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lewis C. Himmell and Rhoda Himmdi, Co-Trustees of the Himmell Living TrusL Claimants v. Michael Domin, Leonard Farber T Lawrence J, Penna> Hennan Epstein, Investors Associates, Inc., Inc., and Wexford Clearing Services Corporation, Respondents Case Number 00-01513 Hearing Site: Los Angeles

-Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07029 Marie R. Lew, individually and as Trustee of the Marie R. Lew Revocable Trust Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Telum "Jackey" Winters Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marie R. Lew, individually and as Trustee o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07026 Michael Murphy, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Michael Murphy, ("Claimant"), appeared Wm. Jemison Mims, Jr. Esq., of the firm Levin Papantonio Thomas Mitchell Echsner, Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Seldon, Esq., of the firm Maynard Cooper & Gale P.C.,

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donna E. Mansur, Trustee for the Jack Nedelman Trust U/A DTD 8/18/98, Claimant v. A.G. Edwards & Sons, Inc. and Ted T. Mendoza, Respondents Case Number: 03-07024 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Dennis R. Villavicencio, Esq. Akins & Villavicencio, LLP Carlsbad