Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wame nf thft P.laimflnt Case Number 04-00159 Kenneth C. Vass Names nf thft Respondents Hearing Site- Pittsburgh, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Jack Grubman, and Ronald Murad Nature of the Dispute: Customer vs. Member and Associated Persons ttF.PRF.SF.NTATTON OF PAHTITCS Claimant, Kenneth C. Vass, hereinafter referred t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *90-03548 AWARD In the Matter of the Arbitration Between William E. Kirkland Claimant vs. SunTrust Securities, Inc. Respondent CASE SUMMARY Pro Se Claimant William E. Kirkland, in a claim filed with the National Association of Securities Dealers, Inc. on December 14, 1990, alleged that although he only owned a total of one thousand (1000) shares of UTL Corporation, Respondent SunT

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the GOCOTiTDftTED Arbitrations Between James B. Aldrich, as Trustee of the Frank C. Layng and Alice M. Layng Trusts James B. Aldrich Margaret Layng Aldrich William C. Elliott, Jr. William Jeffrey Konlo Jennifer Aldrich Konlo 90-00518 90-00913 90-01007 Kidder, Peabody & Co., Inc. Robert F. Kurtz, Jr. Third-Party Respondents James B. Aldrich Marg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the CCNSdr.TnATKD Arbitrations Eetween Janes B. Aldrich, as Trustee of the Frank C. Layng and Alice M. Layng Trusts James B. Aldrich Jtergaret Layng Aldrich William C. Elliott, Jr. William Jeffrey Komlo Jennifer Aldrich Komlo 90-00518 90-00912 Kidder, Peabody & Co., Inc. Robert F. Kurtz, Jr. 90-01007 T'' n — Resondents Janes B. Aldrich

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che iMatter of the CCNSOLTDATED Arbitrations B Janes B. Aldrich, as Trustee of the Frank C. Layng and Alice M. Layng Trusts James B. Aldrich tfcrgaret Layng Aldrich William C. Elliott, Jr. William Jeffrey Komlo Jennifer Aldrich Kdmlo Kidder, Peabody & Co., Inc. Robert F. Kurtz, Jr. Resondents 90-00518 90-00913 90-01007 James B. Aldrich Margaret Layng Aldrich

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the GCMSOLIDATEn Arbitrations Between James B. Aldrich, as Trustee of the Frank C. Layng and Alice M. Layng Trusts James B. Aldrich Margaret Layng Aldrich William C. Elliott, Jr. William Jeffrey Komlo Jennifer Aldrich Komlo 90-00518 90-00912 Kidder, Peabody & Co., Inc. Robert F. Kurtz, Jr. Resondents 90-01007 James B. Aldrich Margaret Layng Ald

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Richard and Beatrice Tamburri Richard Delatore vs. 90-00341 Consol. w/ 9*410*2 Prudential Securities Inc. Prudential-Bache Agriculture, Inc. For Claimants: Timothy L. Bouscaren, Esq. For Resp

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Richard and Beatrice Tamburri Richard Delators VS. Name of Respondents Prudential Securities Inc. Prudential-Bache Agriculture, Inc. 90-00341 Consol. w/ For Claimants: Timothy L. Bouscaren, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Among Name ojf Claimanjg Paul A. Duke, Jean F. Duke, Paul A. Duke, Jr., C. Hunter Tison, Laura D. Tison, Ruth Strickland, Herb Strickland, Jon A. Pirtle and Paul A. Duke, trustee for Terri L. Strickland, . Ronald G. Green and Matthew H. Patton Consolidated Case Numbers 1 90-00460 90-00461 91-00116 Name of Respondents Marshall & Co., Inc.; M

'It N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Among Name p_f Claimants Paul A. Duke, Jean F. Duke, Paul A. Duke, Jr., C. Hunter Tison, Laura D. Tison, Ruth Strickland, Herb Strickland, Jon A. Pirtle and Paul A. Duke, trustee for Terri L. Strickland, . Ronald G. Green and Matthew H. Pattern Consolidated Case Numbers 1 90-00460 90-00461 91-00116 Name of Respondents Marshall & Co.