AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John E. White vs. 03-09231 Omaha, Nebraska Names of Respondents CUNA Brokerage Services, Inc., J. Mark King and Members Financial Services " " N A T U R E O F DISPUTE Customer vs. Member Firm, Associated Person and Non-Member REPRESENTATION OF PARTIES John E. White ("Claimant") appeared pro se. CUNA Brokerag

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-09230 Julie Annette-Donnadieu Juliano (daughter) Julie Annette-Donnadieu Juliano (mother) Jeanne Katherine Donnadieu Juliano, individually and on behalf of Sofia Donnadieu Juliano, a minor child Names of the Respondents Hearing Site: Tampa, FL UBS Financial Services, Inc. Stephen J. Martin Wayne S. Dictor Nature of the Dispute

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael and Corrine Povich and 03-09219 Phoenix, Arizona Name of Respondents Piper Jaffray & Co. (formerly U.S. Bancorp Piper Jaffray, Inc.) Michael K. Self Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael and Corrine Povich ("Claimants") were represented by Alan Baskin, Esq., Bade & Baskin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: WM Financial Services, Inc. (Claimant) v. Fiserv Securities, Inc. (Respondent) Case Number: 03-09216 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant WM Financial Services, Inc. ("WMFS") hereinafter referred to as "Claimant": Robert J.A. Zito, Esq., Schiff Hardin & Waite, New York, NY. Respondent Fiserv Securities, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Phillip San Sebastian, Claimant v. Salomon Smith Barney, Inc. (n/k/a Citigroup Global Markets, Inc.), Respondent Case Number: 03-09212 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Steven E. Paganetti Wild, Carter & Tipton Fresno, California For Respondent: Peter R. Boutin, Esq. Keesal, Young

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09208 David and Marianne Zalut JTWROS, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: For Claimants, David and Marianne Zalut JTWROS, ("Claimants"), appeared Aismara J. Abreu, Esq., of the firm Anapol, Schwartz, Weiss, Cohan, Feldman& Smalley, P.C., Philadephia, PA. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney,

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Janet C. Hillelson Young Grantor TR UAD 6/28/79 Janet C. Hillelson Young TTEE Individually and as Trustee Case No. 01-01721 Names of Respondents Bruce Sallah J.W, Genesis Financial Corn, Hearing Site: Boca Raton, Fldrida REPRESENTATION QF PARTIES For Janet C. Hillelson Young- Grantor TR UAD 6/28/79, Janet C. Hillelson Young TTEE

i * I j NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09206 Randall L. Zotter, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: " For Claimant, Randall L. Zotter, ("Claimant"), appeared Scott A. Lane, Esq., of the firm Edgar Snyder & Associates, L.L.C., Pittsburgh, PA. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondents"), appear

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09205 David D. Hall, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: ~~~ For Claimant, David D. Hall, ("Claimant"), appeared Scott A. Lane, Esq., of the firm Edgar Snyder & Associates, LLC, Pittsburgh, PA. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared Stephen L. Saxl, Esq., of

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jan-Eric Ramberg, Dr. Alberto Vasquez, Margot J. Vasquez, and Katherine Duff Rines as successor trustee of the John R. Rines Trust (Claimants) v. Sands Brothers & Co., Ltd., Martin Scott Sands, Steven Brett Sands, and Sands Brothers Group, LLC (Respondents) Case Number: 03-09201 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member, and Associ