Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04994 Stephen C. Mull Name of the Respondent Hearing Site: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Arthur S. Gold, Esq., of Gold & Coulson, LLC located in Chicago, Illinois, represented Claimant Stephen C. Mull, ("Mull"). Andrew Fallon, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stanley B. Leedy TTEE FBO Stanley B. Leedy Stanley B. Leedy TTEE FBO Vangine L. Leedy Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04989 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04987 Stanley L. Harrison and Martina A. Harrison, JTWROS Stanley L. Harrison, Individually Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Stanley L. H

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Florence S. Molnar (Claimant) v. A.G. Edwards & Sons, Inc. and Frank Taylor (Respondents) Case Number: 03-04982 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Florence S. Molnar ("Molnar") hereinafter collectively referred to as "Claimant" appeared pro se. Respondents A.G. Edwards & Sons, Inc.

0-1/30/2004 13:01 FAX NASD REGULATION @ 0 02 NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 03-04980 William C. Evans, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: Claimant, William C. Evans, ("Claimant"), appeared pro se, Bainbridge Island, WA. For Respondent, Citgroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc., ("Respondent")* appeared in-house counsel Ann Parry,

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Jack A. Sunseri Trust, Claimant v. Morgan Stanley DW Inc., Clifford M. Topol, and Salvatore Samperi., Respondents Case Number: 03-04979 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jared R.B. Hutton, Esq. Attorney At Law Los Angeles, California For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terry A. Cooper, Claimant v. Wedbush Morgan Securities Inc., William E. Cessnun, and Charles A. Webb, Respondents Case Number: 03-04976 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Richard D. Brady, Esq. Richard D. Brady, PLLC Tacoma, Washington For Respondents: Judy Louie, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara J. Menard, Denis K. and Dinoo J. Vanier, Andre D. Vanier, Vance K. Vanier, and The V and A Trust, Denis and Dinoo Vanier Trustees, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael J. Maher, Respondents Case Number: 01-01520 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant Barbara J. Menard: For Claimants Denis K. and Dino

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marcia F. Cohen, Claimant v. Morgan Stanley DW Inc., Barry M. Speyer, and Jac B. Stulberg, Respondents Case Number: 03-04975 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert B. Hutchinson, Esq. Law Offices of Hutchinson & Snider Beverly Hills, California For Respondents

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roselle Gennes and Robert L. Gennes, Roselle Gennes, IRA, Robert L Gennes, IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc., Jerome Grossman, Kevin M. Sheerin and Denice Glover (Respondents) Case Number: 03-04968 Hearing Site: New York City, NY Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Roselle Ge