Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-02228 Joseph S. Manzi, Trustee, FBO Joseph S. Manzi Trust UAD 9/30/94 Names of Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Michael Freitag Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph S. Manzi, Trustee, FBO Joseph S.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elissa J. Jenny (Claimant) vs. Allmerica Investments, Inc., Advest, Inc., Paul P. Hipsky, III and Constellation Capital Advisors (Respondents) Case Number: 03-07464 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant Elissa J. Jenny hereinafter referred to as "Claimant": William

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Philips, Jeffrey Philips, and Ann Philips (Claimants) v. Citigroup Global Markets, Inc., Jack Grubman and Kevin Conway (Respondents) Case Number: 03-06702 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Peter Philips, Jeffrey Philips, and Ann Philips hereinafter collectively refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilbert C. Varnes Jr. (Claimant) v. USAWianz Securities, Inc. (Respondent) Case Number: 06-00776 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Gilbert C. Vamas, Jr., hereinafter referred to as "Claimant": Sheldon M. Rnkelstein, Esq., Podvey, Meaner, Catenacci, Hildner, Cocoziello & Chattman, Newark, NJ.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur Toppston, Claimant v. Citigroup Global Markets Inc. and Charles Arthur Goodman, Respondents Case Number: 05-05573 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Sam Bregman, Esq. The Bregman Law Firm, P.C. Albuquerque, New Mexico For Respondents: Raul Sanchez, Esq. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 01-02289 Rawls B. Morgan Name nf the Respondents Hearing Site: Washington, D.C. Voss & Company, Inc and Richard Schulze RF.PRF.SFNTATTON OF PARTTF.S Claimant, Rawls B. Morgan ("Morgan") was represented by John P. Connolly, Esq. and Ford C. Ladd, Attorneys at Law, Alexandria, Virginia. Respondents, Voss & Company, Inc. ("Voss") and Richard Sc

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. Jeffrey A. Mascio and Brett W. Pieratt, Respondents Jeffrey A. Mascio and Brett W. Pieratt, Counter-Claimants v. Citigroup Global Markets Inc., Counter-Respondent Jeffrey A. Mascio and Brett W. Pieratt, Third Party Claimants v. Theodore Scott Fleming, Third Party Respondent Case Number: 05-05286 Hearing Site: Denver, Colorado

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Spencer, Derek Lautato, Joseph Prudente and Nicholas Marzel!?. (Claimants) vs. Heartland Securities, Corp. (Respondent) Case Number: 05-04037 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Kenneth Spencer ("Spencer"), Derek Lautato ("Lautato"), Joseph Prudente ("Prudente") and Nicholas Marzella (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03547 Larry Frangos Linda Kosec George E. Ginnis and Nancy Ginnis Samuel J. Pitzulo and Janet M. Pitzulo Names of the Respondents Hearing Site: Pittsburgh, Pennsylvania Butler Wick & Co., Inc. John Luklan Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Larry Frangos, Lind

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul and Helen Koons vs. Morgan Stanley DW, Inc., Garry Olson and James Martin Case Number: 05-03541 Hearing Sits- Philadelphia, PA Nature of the Dispute: Customers v. Member and Associated Persons. REPRFSENITATIQN QF PARTIES Claimants, Paul and Helen Koons, hereinafter collectively referred to as "Claimants", were represented by Byron L. Milner, Esq., King of Prussia, Pennsylvania.