Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00621 Wachovia Securities, L.L.C. i Name of the Respondent Hearing Site: Orlando, FL Marcel Pope Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, L.L.C. ("Wachovia"), hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, VA.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00609 Oppenheimer & Co. Inc., (Claimant) vs. David E. Boni, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 2, 2005 . ^.« . _ . CASE SUMMARY: Claimant alleged that Respondent breached the terms of a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup -Global Markets Inc. f/k/a Salomon Smith Barney Inc., Claimant v. Stephen B. Cuomo, Respondent Case Number: 05-00608 Hearing Site: Las Vegas, Nevada 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: Stefanie H. Clement, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lester E. Fontaine and Carolyn P. Fontaine (Claimants) vs. Morgan Wilshire Securities, Inc., Brian Mandart and Michael Finnan (Respondents) Case Number: 05-00607 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Lester E. Fontaine (" L. Fontaine") and Carolyn P. Fontaine ("C. Fontaine") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James David Cooke, Claimant v. Prudential Equity Group, LLC and David D. Semersky, Respondents Case Number: 05-00602 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Thomas & Associates Carlsbad, California For Respondents: Steven M. Malina, Esq. Jonathan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. file/a Salomon Smith Barney Inc., Claimant v. Todd W. Haines, Respondent Case Number: 05-00600 Hearing Site: Salt Lake City, Utah 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: Todd W. Haines Pro Se M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lisa Marie Fourr, Claimant v. Edward D. Jones & Co., Respondent Case Number: 05-00599 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Jonathan Schwartz, Esq. Law Office of Jonathan Schwartz Marina del Rey, California For Respondent: Joseph B. Adams, Esq. Greben & Associates Santa Barbara

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimants. Case No. 01-00463 FIRST SECURITY VAN RASPER, ALBERT S. HUMPHREY, III, v. GEORGE BALLING AND BRUCE NOLLENBERGER, Respondents. Hearing Site: San Francisco REPRESENTATION OF PARTIES For Claimants: JACQUELYN JOHNSON and MARIANNE JOHNSON For Respondents: FIRST SECURITY VAN RASPER, ALBERT S. HUMPHREY, III, GEORGE BALL

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00588 Joseph J. Zulka, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: For Claimant appeared Jan Graham, Esq., of the firm Jan Graham Law Offices, Salt Lake City, UT. For Respondent appeared in-house counsel Rebecca J. Behr, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 31, 2005 CASE SUMMARY: Claimant alleged that Respondent int

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sherri Costello and Sharon Faye Costello, Claimants v. Fidelity Brokerage Services LLC and David K. Colbert, Respondents Case Number: 05-00585 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant Sherri Costello: For Claimant Sharon Faye Costello: For Respondents Fidelity Brokerage S