STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charles J. Maly and Joyce E. Maly i and 03-02238 ', Omaha, Nebraska Names of Respondents i Piper Jaffray & Co. n/k/a U.S. Bancorp Piper Jaffray, Inc. < ' ;• i • Daniel Robert Lindstrom 1 ' i • Gregory S. Harris . ! . 1 ' ' . Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02233 Pam Johansen, Claimant vs. Salomon Smith Barney, Inc., Respondent. ATTORNEYS: Claimant, Pam Johansen ("Claimant"), appeared Pro Se., Juneau AK. Respondent, Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., ("Respondent") appeared through its in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: March 26, 2003 CASE SUMMARY: Claimant alleged that she purchased s

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kirlin Securities, Inc. (Claimant) v. John M. Lee (Respondent) Case Number: 03-02226 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Kirlin Securities, Inc. ("Kirlin") hereinafter referred to as "Claimant": Barry M. Bordetsky, Esq., Kirlin Securities, Inc., Syosset, NY. Respondent John M. Lee, ("Lee") herei

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Randall F. Roberts and Diane C. Roberts (Claimants) v. UBS PaineWebber. Inc., and Christopher Grennon (Respondents) Case Number: 03-02225 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Randall F. Roberts, IRA ("R. Roberts"), Diane C. Roberts, IRA ("D. Roberts") and Randall and Di

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edith B. Haines Trust, Paul L. Haines Trust, Baily Rucker as Trustee (Claimants) v. First Montauk Securities Corp. and Lorraine Hartung (Respondents) v. Cape Cod Bank and Trust (Third-Party Respondent) Case Number: 03-02224 Hearing Site: Boston, Massachusetts. Nature of the Dispute: Customers v. Member and Associated Person (Initial Claim). Member v. Non-Member (Third-Par

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Khosrow Jamshidi, Claimant v. Bear Stearns & Co., Inc. and Albert E. Shultz, Respondents Case Number: 03-02223 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Christine McNamara, Esq. Baldwin and McNamara Menlo Park, California For Respondents: Nicholas P. lavarone, Esq. Bell

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02216 Fidelity Brokerage Services LLC, Claimant v. Nick Nikah, Respondent. ATTORNEYS: For Claimant, Fidelity Brokerage Services LLC, ("Claimant"), appeared Laurence K. Richmond, Quincy, MA. Respondent, Nick Nikah, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Customer DATE FILED: March 26, 2003 CASE SUMMARY: Claimant alleged that Respondent faile

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry Creech and Lynda Creech, (Claimants) v. Clearing Services of America and Ronald Samo, Sr. (Respondents) Case Number: 03-02215 Hearin^Site: New York, NY Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Larry Creech ("Larry Creech") and Lynda Creech ("Lynda Creech") hereinafter collectively referred to as "Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Irani and Carmela Irani JTWROS and Michael Irani IRA (Claimants) v. Blackford Securities Corp., Sanders Morris Harris, Inc., Neil Lauro, and Frank Palumbo (Respondents) Case Number: 03-02213 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Michael Irani and Carmela Irani ("Iran

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Columbus Circle Investors (Claimant) v. Michael Julian (Respondent) and Michael F. Julian (Claimant) v. Columbus Circle Investors (Respondent) Case Number: 03-02208 (consolidated with 03-02397) Hearing Site: New York, New York Nature of the Dispute: Non-Member v. Associated Person (03-02208) Associated Person v. Non-Member (03-02397) REPRESENTATION OF PARTIES 03-02208