NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05151 Mayrene Earle, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Kallie C. Lunsford, Esq., of the firm Riiey & Jackson, P.C., Birmingham, AL. For Respondents appeared Mark Parmelee, Esq., of the firm Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: Au

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05149 Grace Ruth Capo, (Claimant) vs. Wells Fargo Investments, LLC and Ashley Morris, (Respondents) ATTORNEYS: Claimant appeared pro se, Las Vegas, NV. For Respondents appeared in-house counsel Thomas F. Kopshever, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 29, 2005 CASE SUMMARY: Claimant alleged that Respondents misrepr

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., Claimant vs. Richard H. Thompson, Respondent Case Number: 05-05133 SITUS: Dallas, Texas NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Joyce M. Mocek, Esq., of the firm of Kutak Rock LLP, located in Atlanta, Georgia. Respondent did not enter an appear

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05074 Jeffrey P. Graves, (Claimant) vs. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: For Claimant appeared F. Louis Behrends, Esq., of the Behrends Law Offices, Peoria, IL. For Respondent appeared in-house counsel Adam M. Kauff, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 28, 2005 CASE SUMMARY: Claimant alleg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05048 William Ruhe, IRA, (Claimant) vs. Fidelity Brokerage Services, LLC, (Respondent) ATTORNEYS: For Claimant appeared Scott A. Lane, Esq., of the firm Edgar Snyder & Associates, LLC, Pittsburgh, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 22,2005 CASE SUMMARY: Claimant alleged that Respondent breach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ali Heravi and Amo, Inc., Claimants v. Morgan Stanley DW, Inc. and Debbie A. Gianelli, Respondents Case Number: 01-00615 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Thomas P. Sughrua, Esq. Sughrua & Associates, Inc. Seattle, Washington For Respondents: Christopher B. Wells, Esq. Lane Powell Spears Lubersky LLP Seattle, Washington CA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04966 Oppenheimer & Co., Inc., (Claimant) vs. Peter L. Totaro, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 21, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies owed pursu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04952 Robert W. Baird & Co. Incorporated Name of the Respondent Hearing Site: Tampa, Florida Mark McKoan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Robert W. Baird & Co. Incorporated, hereinafter referred to as "Claimant": Moira K. Moran, Vice President and Staff Attorney to Claimant, and Brian D. Trexe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Edward G. Kuekes and Roberta E. Kuekes, individually and as co-trustees of the Kuekes Living Trust; Sherrill K. Bouchereau, as trustee of the Kuekes Trust; Joyce Elaine McClellan and Sherrill K. Bouchereau, as co-trustees of the Kernel Trust and Names of Respondents Nova Financial Group, Inc. and Timothy B. Dickey Case Number: 05-04947 Heari

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. John Paul La Belle, Respondent Case Number: 05-04937 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Steven T. Masada, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Jean Paul La Belle Pro Se Seattle, Washington CASE