AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Jesse R. Ragan and Norma Ragan vs. 03-06429 Nashville, Tennessee Respondents Legg Mason Wood Walker, Inc. and Gary S. Jameson REPRESENTATION OF PARTIES Jesse R. Ragan and Norma Ragan ("Claimants") were represented by Alix Coulter Cross, Esq., Harwell Howard Hyne Gabbert & Manner, PC., Nashville, Tennessee. Legg Mason Wood Walker, Inc. ("Legg Mason") and Gary

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charlotte and Leigh Winslow and Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., David Harkins and Ronnie McClellan Case Number: 03-06424 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Charlotte and Leigh Winslow ("Claimants") were repres

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James A. Baumhart Names of the Respondents CitigroUp Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Grubman Case Number: 03-06423 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James A. Baumhart, hereinafter referred to as "Claimant": Adam S. Do

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher, Inc., Claimant v. Thomas E. Fife, Respondent Thomas E. Fife, Counter-Claimant v. RBC Dain Rauscher, Inc., Counter-Respondent Case Number: 03-06417 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person; Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Kim Ruckdaschel-Haley, Esq. Lindquist

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimants; P.ase Number 03-0641 S Robert and Darlene Stuart Names; of the Respondents Hearing Site* Pittsburgh, Pennsylvania Tradestation Securities, Inc. Michael A. Klem Bear Stearns Securities., Corp. Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Robert and Darlene Stuart, hereinafter collectively referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06411 Beverly Bombicino Names of the Respondents Hearing Site: Boca Raton, Florida PMG Securities Corporation Paul Gonzalez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Beverly Bombicino, hereinafter referred to as "Claimant": Randall W. Henley, Esq., West Palm Beach, Florida. For

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jennie Chicarilla (Claimant) v. Steven L. Falk & Associates, Inc. and Morton Erenstein (Respondents) Case Number: 03-06409 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jennie Chicarilla ("Chicarilla") hereinafter referred to as "Claimant": Richard Gantner, Esq., Nee, Beacham & Gantn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06406 Barbara Rapoport, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Stephen Kittenplan, Respondents. ATTORNEYS: Claimant, Barbara Rapoport, ("Claimant"), appeared pro se, New York, NY. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Stephen Kittenplan, ("Respondents"), appeared through then* in-house counsel, Ann Parry, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Stanley Dean Witter, (Claimant) vs. Tasin & Co., Inc., (Respondent) Case Number: 01-01677 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Morgan Stanley Dean Witter, hereinafter referred to as "Claimant": Peter D. Doyle, Esq., Kirkland & Ellis, New York, NY. Respondent, Tasin & Co., Inc., hereinafter referred to as "Respondent", did not make an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06405 GunnAUen Financial, Inc., Claimant v. Damien J. Castine, Respondent. ATTORNEYS: Claimant, GunnAUen Financial, Inc., ("Claimant"), appeared through its in-house counsel Jay Marc Israel, Esq., Hauppauge, NY. Respondent, Damien J. Castine, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 4, 2003 CASE SUMMAR