Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration between: Michael Boschetti, Claimant, v. Salomon Smith Barney, Inc. (n/k/a Citigroup Global Markets, Inc.), Harlan Van Vooren, Thomas Gibbens, Jack Grubman, Kevin McCaffrey, Michael Carpenter, and Eduardo Mestre, Respondents Case Number: 03-02260 Hearing Site: Portland, California Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Krueger, Claimant v. Merrill Lynch, Pierce, Fenner & Smith* Inc. and Lawrence P. Smith, Jr., Respondents Case Number: 03-02258 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Timothy A. Canning, Esq. Richard Sacks Securities Arbitration Consultan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beverly J. Young a/k/a Beverly Graham, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Erin ND Black, Sharon D. Black, and Christopher B. Walling, Respondents Case Number: 03-02257 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Kristin M. Cano,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan N. Wellner v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Charles A. Birbara Case Number: 03-02253 Hearing Site: Boston, MA Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Susan N. Wellner hereinafter referred to as "Claimant": James Miller and James Shah of Shepherd, Finkelman, Miller & Shah, One Lewis S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rebecca S. Stoddard (Claimant) v. MetLife Securities, Inc. and David Noel Morales (Respondents) Case Number: 03-02252 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rebecca S. Stoddard ("Stoddard") hereinafter referred to as "Claimant": Christine M. Bae, Esq., Bae & Associates, P.C and Carle

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02251 Marjorie Goldstein, Custodian for Hillary and Melissa Goldstein, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and David Joel Cohen, Respondents. ATTORNEYS: For Claimant, Marjorie Goldstein, Custodian for Hillary and Melissa Goldstein, ("Claimant"), appeared George Warhit, Esq., of the firm George Warhit, P.C. New York, NY. Respondents, Citigroup Global Mar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jo Ann Jacobsen, Jo Ann Jacobsen IRA, Tinkerbelle Associates, Inc., and the Tinkerbelle Associates, Inc. Defined Benefit Plan Dated 1/1/02 (Claimants) v. Clearing Services of America, Inc. Eberhard Investment Associates, Inc. and Todd M. Eberhard (Respondents") Case Number: 03-02250 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member, Non-Member, and Associa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill Lynch, Pierce, Fenner & Smith Inc. Case Number: 03-02248 Name of the Respondents Stephen M. Hammers ^ Planning Advantage Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch"): Joseph A. Dougherty, Esq., Rubin & Associates, P.C., 10 S. Leopard Rd., Pao

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Benjamin Thomas McElroy Jr., individually, as JTTEN the McElroy Family Versaille Ltd. Partnership and as Trustee for the McElroy Family Irrevocable Insurance Trust U/A dated 7/14/95 and Laura McElroy, individually and as JTTEN The McElroy Family Versaille Ltd. Partnership and Case Number: 03-02239 Hearing Site: Dallas, Texas Names of Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01208 GKN Securities, Corp., Inc., claimant vs. Patrick Keane, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, Vice-President, New York, NY. Respondent appeared Pro Se, Tarrytown, NY. DATE FILED: March 12, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay an unsecured promissory note. Claim Data Claim: $7,200.00 Interest: unspecified