NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-01704 Raymond James & Associates, Claimant vs. Bruce Herrick, Respondent. ATTORNEYS: For Claimant appeared Christopher G. Lazarini, Esq., of the Law Offices of Tate, Lazarini & Beali, P.C., Memphis, TN. Respondent appeared pro se, Euclid, OH, previously represented by Paul F. Doherty, Esq., of the Law Offices of Morris & Doherty, P.C., Birmingham, MI. DATE FILED: April 5, 2001 CASE S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Floydella S. Rogers and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Ellias D. Stabinsky Case Number: 03-06582 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION QF PARTIES Floydella S. Rogers ("Claimant") was represented by John Courtade, Esq., Law Offices of J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 03-06581 Paul D. Fajerski and Michele Fajerski, t/a Fajerski Family Limited Partnership Name of the Respondent Hearing Site: Pittsburgh, PA Leman Brothers, Inc. Nature of the Dispute: Customers vs. Member UF.PRFSFNTATTON OF PAPTTF.S Claimants, Paul D. Fajerski and Michele Fajerski, t/a Fajerski Family Limited Partnership, hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Claimant v. Thomas Head, Respondent Case Number: 03-06578 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person i REPRESENTATION OF PARITIES For Claimant; Melanie L. Rouen, Esq. Keesal, Young & Logan Long Beach, California For Respondent: Thomas Head In Pro Se ' Palm Desert., California CASE INFORM

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06574 Lee P. Gilheany, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Lee P. Gilheany, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06573 Carolyn M. Howard & Dana Howard Randies TTEE U/W/O Charles W. Howard FBO Carolyn M. Howard SBPM, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Carolyn M. Howard & Dana Howard Randies TTEE U/W/O Charles W. Howard FBO Carolyn M. Howard SBPM, ("Claimants"), appeared Douglas H. Glicken, Esq., of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06572 Robert N. Lacsen IRA and Maijorie R. Larsen IRA, Claimants v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants* Robert N. Larsen IRA and Maijorie R. Larsen IRA, ("Claimants"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A.* Orlando, FL. For Respondents, Citigroup Global Markets

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06570 Louis V. Marshall & Evelyn Marshall TTEES The Marshall Family Trust, Claimants v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Louis V. Marshall & Evelyn Marshall TTEES The Marshall Family Trust, ("Claimants"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, F

PAGE 0003/004 NASD DISPUTE RESOLtmON AWARD CASE: 03-06569 GaflG.MorcdlClaiinantv. Citigrongp Global Maikets, Inc. and Jade B. Grobraao, Respondents ATTORNEYS: t, Gafl G.MtandL ^CUaaaaf^ appeared Dou^ Offices of Douglas H. Olicken, P JL 9 Orlando, Fl~ Fw Respondents, Citigroup Global Martha, Inc. ffkfc Salomon Smifo Barney, ferc. and Jack B. GtntomanjC'Re^poodeotB'O, appeared Btadlbtd D. KaufinonuEsq^ of the firm Grcenberg Tfaarig, P.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06567 Scott G. Keith, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Scott G. Keith, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Res