Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05142 Sue A. Koepnick Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., Bk/a. Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sue A. Koepnick, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05137 National Securities Corporation, (Claimant) vs. Robert Nelson, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of the firm StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not respond to the Statement of Claim, Brooklyn, NY. NATURE OF DISPUTE: Member v. Associated Person " DATE FILED: July 14, 2004 CASE SUMMARY: Claimant alleg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05136 S. W. Bach & Company, Claimant v. Kent Martin, Respondent ATTORNEYS: For Claimant S. W, Bach & Company ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Kent Martin ("Martin") appeared pro se, Far Rockaway, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: July 16, 2004. CASE SUMMARY: Claimant all

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arnold A. Farris and Names of Respondents Multi-Financial Securities Corporation, Sanders Morris Harris, Inc., and Bert Earl Miller, Jr. Case Number: 04-05125 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Arnold A. Farris ("Claimant") was represented by Brian E. Bro,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Clifford J. Meads and Linda M. Meads and Names of Respondents Securities America, Inc. and Duane M. Russell Case Number: 04-05124 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE ,. Customers v. Member and Associated Person REPRESENTATION OF PARTIES Clifford J. Meads and Linda M. Meads ("Meads" or "Claimants") were represented by Siegfrie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Karpilovsky and the Mark Karpilovsky Family Trust, (Claimants) vs. Herzog, Heine, Geduld, Inc., Track Data Securities Corp., Track Securities Corp., Track Data Corp., Jack Spiegelman, and Barry I. Hertz, (Respondents) Case Number: 01-01787 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Mark Karpilovsky ("Karpilovsky") and the Mark Karpilovsky Family Trust

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05119 Howard L. Dinsmore Carolyn G. Dinsmore Name of the Respondent Hearing Site: Boca Raton, Florida McDonald Investments, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Howard L. Dinsmore and Carolyn G. Dinsmore, hereinafter collectively referred to as "Claimants": David P. Meyer, Esq., Meye

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05119 Howard L. Dinsmore Carolyn G. Dinsmore Name of the Respondent Hearing Site: Boca Raton, Florida McDonald Investments, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Howard L. Dinsmore and Carolyn G. Dinsmore, hereinafter collectively referred to as "Claimants": David P. Meyer, Esq., Meyer & Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05114 Donald J.Dudley IRA Names of the Respondents Hearing Site: Tampa, 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 Donald J. Dudley IRA, hereinafter referred to as "Claimant": Douglas H, Glicken,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05112 Brian Halifax Names of the Respondents Hearing Site: Tampa, 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 For Brian Halifax, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq., Douglas H