AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark D. Cornfield, Individually, as Beneficiary of his IRA, and as Custodian for Max Ryan Cornfield, Joshua Adam Kaplan, and Taylor Q. Cornfield, and Kelly A. Cornfield, Individually and as Beneficiary of her IRA and Case Number: 03-05514 Hearing Site: Southfield, Michigan Names of Respondents Citigroup Global Markets, Inc., and Kenneth Mittelbr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Children's Heart Center, P.C. and Case Number; 03-05513 Hearing Site: Troy, Michigan Respondent Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Children's Heart Center, P.C. ("Claimant") was represented by Webb A. Smith, Esq., and Peter R. Albertins, Esq., Foster, Swift, Collins & Smith, P.C., Lansi

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant T-Lon Products, Inc. vs. Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. 5 Glen W. Ringwall, Mark J. Manion, and David M. Retkowski Case Number: 03-05512 Hearing Site: Milwaukee, Wisconsin NATURE OF CASE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES T-Lon Products, Inc. ("Claiman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dhiraj Murthy, Individually and as Trustee and Beneficiary of the Dhiraj Murthy Revocable Trust Dated 04/05/00, Claimants v. Merrill Lynch, Pierce, Fenner and Smith Incorporated and Canard E. Barnes, Respondents Case Number: 03-05500 ' Hearing Site: Portland, Oregon Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Martin J. Mazur Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Brian Sepe, Robert E. Graham, Thomas Lydon, and Joseph P. Gannotti Case Number: 01-01586 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Martin J. Mazur ("Mazur") was represented by Keven S. Besetzny, Esq. of the firm Novoselsky Law Off

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bradley E. Allen v. Barren Chase Securities, Inc. Case Number: 00-741 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Bradley E. Allen, ("Allen"), hereinafter referred to as "Claimant": Steven P. DeVolder, Esq., Lewis, Webster, Johnson, Van Winkle & DeVolder, Des Moines, Iowa. Respondent, Barron Chase Securities, Inc. ("Barren Chase"), hereinafter referred to as "R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Da-Chen Shieh, Claimant v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Chentien "Bruce" Lo, Respondents Case Number: 03-05498 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Mi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Bryant and Billie Bryant, individually and Trustees of the Bryant Living Trust, Claimants v. Bane of America Investment Services Inc. and Debra M. Corti, Respondents Case Number: 03-05497 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC v. Names of Respondents CGF Securities, LLC Brian J. Schuster Rebecca L. Engle and Counter-Claimant Brian J. Schuster v. Counter-Respondent Wachovia Securities, LLC Case Number: 03-05495 Hearing Site: Omaha, Nebraska and Counter-Claimant Rebecca L. Engle v. Counter-Respondent Wachovi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 03-05493 Hearing Site: Houston, Texas Name of Respondent Ruben Mercado NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Brent A. Burns, Esq., of Davidson & Grannum, in Northvale, New Jersey.