Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark A. Riely (Claimant) v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc. (Respondent) v. CRT Capital Group, LLC and Hill, Thompson, Magid & Co. (Respondents) Case Number: 03-05665 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member (Initial Claim) Member v. Members (Third-Party Claim) Claimant Mark A. Riely ("Riely") hereinafter referre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05661 Wachovia Securities, L.L.C. Name of the Respondent Hearing Site: Boca Raton, Florida Kelly J. Flynn Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, L.L.C., hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mike Kelly . , Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-05651 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Customer vs. Member Firm REPRESENTATION OF PARTIES Mike Kelly ("Kelly"), hereinafter referred to as "Claimant": Wm. Jemison Mims, Jr., Esq. and Kristian Rasmussen, Esq. of the law firm

Award NASD Dispute Resolution, Inc. uispute Kesoiuiion, inc. In the Matter of the Arbitration Between: Daniel Prior and Mildred Prior vs. OLDE Discount Corporation (now known as H & R Block Financial Advisors, Inc.) and Trent Friederich Case Number: 01 -01599 Hearing Site: Chicago, IL REPRESENTATION OF PARTIES Claimants, Daniel Prior and Mildred Prior, hereinafter collectively referred to as "Claimants" by John Elson, Esq., Northwestern Universi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05648 Joan P. Smith and Louis R. Smith, Jr., Claimants v. Merrill Lynch, Pierce, Fenncr & Smith, Inc. Kenneth Frankman, and .lames Gaughran, Respondents ATTORNEYS: Claimants Joan P. Smith and Louis R. Smith, Jr. (collectively "Claimants") appeared pro se, Coram, NY. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Kenneth Frankman, and James Gaughran (collectively "Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05646 First Avantus Securities, Inc., Claimant v. David Hayes, Respondent. ATTORNEYS: For Claimant, First Avantus Securities, Inc., ("Claimant"), appeared John Courtade, Esq., of the Law Offices of John Courtade, Austin, TX. Respondent, David Hayes, ("Respondent"), appeared pro se, Austin, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 1, 2003 — " CASE SUMMARY

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gloria J. Field and William C. Field v. Names of Respondents Citigroup Global Markets, Inc. and Wayne Ballinger Case Number: 03-05645 Hearing Location: Chicago, Illinois NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Gloria J. Field and William C. Field ("Claimants") were represented by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John E. and Susan Foddrill and Names of Respondents Citigroup Global Markets, Inc., and John Frakes Case Number: 03-05644 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES John E. and Susan Foddrill ("Claimants") were represented by Randall A. Pulman, Esq., and Luke Be

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05638 Ryan Beck & Co., LLC, Claimant v. Mark Raymond Noble, Respondent. ATTORNEYS: For Claimant, Ryan Beck & Co., LLC, ("Claimant"), appeared Michael S. Colombo, of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent, Mark Raymond Noble, ("Respondent"), appeared pro se, Dover, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 31, 2003 CASE SUMMARY: Clai

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gene Sypniewski IRA, Marion and Gene Sypniewski, and Brian Sypniewski IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Stanley Raubas, and Thomas Isaacs (Respondents) Case Number: 03-05635 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Gene Sypniewski IRA