Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06788 Paul W. Spakowski and Beverly J. Spakowski, Co Trustees of the P & B Spakowski Family Trust Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc. f/k/a/ Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: c: 00-01477 Phil Adams Company Profit Sharing Plan of thp T3f*< ;nnnHf-TUs Hiring iSitf' Washington, DC CIBC World Markets Corp. Miguel A. Santos Mark J. Gillis William H. Arcuri Trautman Wasserman & Co., Inc. nf thp ThirH-Pnrtv Phi! Adams OFPARTTFS Claimant, Phil Adams Company Profit Sharing Plan ("Phil Adams Co."), and Third-Party Respondent, Phil Adams

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert T. Kirk Names of the Respondents First Institutional Securities, L.L.C. Philip Henry Hummel Stanley Robert Goldberg George Liss Case Number: 03-06787 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert T. Kirk, hereinafter referred to as "Claimant"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. Richard Dunlap and Marlene K. Dunlap (Claimants) v. Butler, Wick & Co., Inc. and James R. McCready (Respondents) Case Number: 03-06786 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants A. Richard Dunlap and Marlene K. Dunlap hereinafter collectively referred to as "Claimants": Matt

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Darrell and Shana Hill and 03-06784 Kansas City, Missouri Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Jay C. Gagne Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Darrell and Shana Hill ("Claimants") were represented by Jeffrey S. Kruske, Esq., Law Office of Jeffrey S. Kruske

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen Fitzgerald, Claimant v. Citicorp Investment Services, Inc., Respondent. Case Number: 03-06783 Hearing Site: New York City, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Kathleen Fitzgerald, ("Fitzgerald"), hereinafter referred to as "Claimant": Herbert M. Deutsch, Esq., Deutsch & Lipner, Garden City, NY. Respondent, Citicorp Inve

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stifel, Nicolaus & Co., Inc., Name of the Respondent Gary T. Haas Case Number: 03-06782 Hearing Site: Chicago, Illinos NATURE QF THE DISPUTE Member Firm v. Customer REPRESENTATION OF PARTIES Kenneth J. Vanko, Esq., of the firm Clinger Callow & McLean, LLC, located in Wheaton, Illinois, represented Claimant Stifel, Nicolaus & Co., Inc., ("Stif

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06781 Eileen T. Smith IRA Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB, Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Eileen T. Smith IRA, hereinafter referred to as "Claimant": Douglas H. Glicken,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06780 Douglas F. Bishop, IRA. Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Douglas F. Bishop, ERA, ("Claimant"), appeared Douglas H. Olicken, Esq., of the Law Offices of Douglas H, Olicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Richter (Claimant) v. Ehrenkrantz King Nussbaum, Inc. (Respondent) Case Number: 03-06773 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert J. Richter hereinafter referred to as "Claimant": Ronald K. Nims, Esq., Nims Law Offices, Columbus, OH. Respondent Ehrenkrantz King Nussbaum, Inc. hereinafter referred