NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05170 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Claimant v. Michael Mashack, Respondent. ATTORNEYS: For Claimant, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. ("Claimant"), appeared Scott E. Hinsche, Esq., of the Firm Keesal, Young & Logan, Long Beach, CA. Respondent, Michael Mashack, ("Respondent"), appeared pro se, Palo Alto, CA. NATURE OF DISPUT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04972 Brandee Cotroneo, IRRA Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch Pierce Fenner & Smith, Inc. Keith Dunn Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Brandee Cotroneo, IRRA, hereinafter referred to as "Claimant": Philip J. Snyderburn, Esq., Snyderburn, Ri

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Nam^of Claimant UBS Financial Services, Inc. and Case Number: 03-03962 Hearing Site: Houston, Texas Name of Respondent Michael R. Paredes NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Laura Martin, Esq., of Davidson & Grannum, of Northvale, New Jersey.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Amer Saleh and Nawal Amin, Individually and as Conservators for Hassen Saleh and Case Number: 03-03960 Hearing Site: Detroit, Michigan Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Jauehwa Jan Huang NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Amer Saleh and Nawal Amin, Individually and

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03807 Stifel, Nicolaus & Co., Inc., Claimant v. Brooks Stephen Speirs, Respondent. ATTORNEYS: For Claimant, Stifel, Nicolaus & Co., Inc., ("Claimant"), appeared Peter R. Sonderby, Esq., Chicago, EL Respondent, Brooks Stephen Speirs, ("Respondent"), appeared pro. se. Thornton, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 27, 2003 CASE SUMMARY: Claimant alleged th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03779 Ralph Ruffolo, Claimant v. Sheldon Andre and First Montauk Securities Corporation. Respondents. ATTORNEYS: For Claimant. Ralph Ruffolo, ("Claimant") appeared Marcel la Silverman. Esq.. New York. N" Respondents, Sheldon Andre and First Montauk Securities Corporation, ("Respondents' appeared through their in-house counsel Joel Levinson. Esq.. Red Bank. NJ. NATURE OF DISPUTE: Customer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03562 Abdul Khalil Rashidzada, Claimant vs. Morgan Stanley DW Inc. and John Ulrich, Respondents. ATTORNEYS: For Claimant, Abdul Khalil Rashidzada, ("Claimant"), appeared John T. McGuire, Esq., New York, NY. Respondents, Morgan Stanley DW Inc. and John Ulrich, ("Respondents"), appeared through their in-house counsel Keith Guifoyle, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03440 Fahnestock & Co., Inc., Claimant v. Julian C. Curry, Respondent ATTORNEYS: Claimant, Fahnestock & Co., Inc., ("Claimant"), appeared through its in-house counsel Eric. J. Schames, New York, NY. Respondent, Julian C. Curry, ("Respondent") appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 9, 2003 CASE SUMMARY: Claimant alleged that Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Joginder S. Soni, Claimant v. Brookshire Securities Corp., Brookshire Holdings, Inc. Timothy B. Ruggiero, Sheldon M. Goldberg and Renzo D. Traverse, Respondents Case Number: 01-03090 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Scott M. Ratchick, Esq. Hunton & Will

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Esmerelda Vega and Case Number: 03-03396 Hearing Site: Detroit, Michigan Names of Respondents Edward D. Jones & Co. and Gary Martin NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Esmerelda Vega ("Claimant") was represented by Maureen Cajoux, Esq., Hooper & Weiss, LLC, Orlando, Florida. Edward D