Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06314 Angelo F. Sammarco and Marie O. Sammarco, Jointly Angelo F, Sammarco, Individually Marie O. Sammarco, Individually Names of the Respondents Hearing Site: Tampa, Florida Gary S. Ellis David D. Cohen Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06313 Maxine A. Paulson & Sandra Adams as Co-Trustees Names of the Respondents Hearing Site: Tampa, Florida William M. Courtney, Jr. Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Maxine A. Paulson ("Paulson") and Sandra Adams ("A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Anna Shalit and Sol Shalit as Co-Trustees Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. D. Robert LaPorta Gaetan Gagne Case Number: 03-06312 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anna Shalit and Sol Shalit as Co-

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Kenneth I. Gould and Gail M. Gould, Jointly and for their Individual Accounts vs. Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Gerald R. Browne and Frank S. Browne Case Number: 03-06311 Hearing Site: Nashville, Tennessee NATURE OF CASE Customers v. Member Firm and Associated Persons REPRESENTATION OF PAR

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Elio and Gina Volta and 03-06310 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Edward A. Koven Samuel Douglas Cornell, in Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Elio and Gina Volta ("Claimants") were represented by James Richard

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward H. Petersen and Margaret A. Petersen, Claimants v. Kirlin Securities Inc. and Zaim Hajdarevic, Respondents Case Number: 03-06307 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: For Respondents: Eduardo Rodriguez, Esq. Hooper & Weiss, LLC Orlando, Florida Barry M. Bordestsky, Esq. Kirlin Securities Inc. Syosset, N

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp. of thf PlaiTnants Hasp. Number: 03-06304 Gerald F. Cohen and Harriet C. Cohen Names nf ifrp. PpspondeTits Hearing Site: Baltimore, MD Quick & Reilly, Inc. Christopher W. Durchanek Nature of the Dispute: Customers vs. Member and Associated Person. RF.PttRSF.NTATTOM OF PARTTRS Claimants, Gerald F. Cohen ("G. Cohen") and Harriet C. Cohen ("C. Cohen"), hereinaft

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: DR. JAMES P. DRABO, Claimant, and MORGAN STANLEY DEAN WITTER, INC., ANNE SCHMID, and SCOTT HESEKIEL, Respondents. Case Number: 03-06303 Hearing Site: Washington, D.C. REPRESENTATION OF PARTIES Claimant: James P. Drabo ("Drabo") was represented by William B. Young, Esquire, Hooper & Weiss, LLC, Orlando, Florida. Respondent(s): Morgan Stanley Dea

Award NASD In the Matter of the Arbitration Between: Name of the Claimant SFM Holdings Ltd. Partnership Name of the Respondent Dain Rauscher Incorporated Case Number: 01-0165 7 Hearing Site: Boca Raton, FL REPRESENTATION OF PARTIES For SFM Holdings Ltd. Partnership, hereinafter referred to as "Claimant": Adam S. Doner, Esq., Gordon & Doner, P.A., Palm Beach Gardens, FL. For Dain Rauscher Incorporated, hereinafter referred to as "Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06301 Melvin Stern, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Russell S. Peck, Laurie Ann Mittman, and Andrew G. Guzzetti, Respondents. ATTORNEYS: Claimant, Melvin Stern, ("Claimant"), appeared pro se, Cinnaminson, NJ. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Russell S. Peck, Laurie Ann Mittman, and Andrew G. Guzzetti, (