AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Duell Family Trust and Albert C. and Mary H. Duell, Trustees and 03-05018 Phoenix, Arizona Name of Respondents U.S. Bancorp Piper Jaffray, Inc. Ronald A. Icabone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES The Duell Family Trust and Albert C. and Mary H. Duell, Trustees ("Claimant") was represented b

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants/Counter-Respondents Richard Thompson, Sherril Thompson, Co-Trustees, Richard Sherrill Thompson a/k/a Kay Rev Liv Tr UA DTD 09/17/97, and Tucker Anthony, Inc., C/F Richard Thompson IRA Rollover DTD 11/05/99 and Respondents/Counter-Claimants RBC Dain Rauscher Inc., and Francis R. Plummer Case Number; 03-05017 Hearing Site: Detroit, Michigan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Robert E. Jamison, Individually and as Custodian of Liz Jamison and Margaret Jamison Name of the Respondents A.G. Edwards & Sons, Inc. Gerald Orville Bevens, Jr. i" 03-05015 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. KFPKFSPNTATTON OF PAttTTRS Claimants, Robert E. Jamison, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05013 Sheldon Leventhal, TTEE Sheldon Leventhal Shari Leventhal Arrel Enterprises, Inc. Names of the Respondents Hearing Site: Boca Raton, FL Citigroup Global Markets, hie. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sheldon Leventhal, TTEE ("SL TTEE"), Sheld

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05011 Jobino Fernandez Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a/ Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jobino Fernandez, hereinafter referred to as "Claimant": Michael B. Lynch, Esq., H

CASE: 05-05010 William R. Bussey, Claimant v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack 84 Grubman, Respondent ATTORNEYS: For Claimant appeared Michael B. Lynch, Esq., of Hooper & Weiss, L.L.C., Orlando, FL. For Res^ndeats appeared Bradford-D-.- Kaufman, Esq. and JannaS. Nugent, Esq., of Greenberg Traiirig, West Palm Beach, FL. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: My 7, 2003 CAS

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert and Irene Jenks, Albert Jenks Trust, Albert Jenks and Andrew Peppard, TTEES, Albert T. Jenks IRA, Albert T. Jenks CUST for Thomas Jenks UTM, Irene L. Jenks IRA, Albert Jenks GUST for Andrew Jenks UTM, Irene Jenks Trust, Irene L. Jenks and Andrew Peppard, TTEES, Windblown Cross Country Skiing Money Purchase Plan for Albert T. Jenks, Windblown Cross Country Skiing Money Purchase Pl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05003 Peter E. Brulatour Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter E. Brulatour, hereinafter referred to as "Claimant": Michael B. Lynch, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leah Csapo, Claimant v. American Express Financial Advisors, Inc. and Peter M. Langlois, Respondents Case Number: 01-01521 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Leah Csapo In Pro Per San Francisco, California For Respondents: Chad Weaver Nash and Edgerton Hermosa Beach, California CASE INFORMATION Statement of C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ralph M. Snyder, It and 03-04995 Nashville, Tennessee Name of Respondents Morgan Stanley DW Inc. Richard P. Wilkinson Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Ralph M. Snyder, n ("Claimant") appeared pro se. Morgan Stanley DW Inc. and Richard P. Wilkinson ("Respondents") were represented by Richard