Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel A. Stornelli and Anne E. Storneili, JTWROS, Samuel A. Stornelli, IRRA and Samuel A. Stornelli (Claimants) v. Merrill Lynch, Pierce, Fenner and Smith, Inc. (Respondent) Case Number: 05-00422 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimants Samuel A. Stornelli and Anne E. Stornelli, JTWROS, Samuel A. Stornelli, IRRA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: I Name of the Claimant Reginald J. Anson Names of the Respondents Citigroup Global Markets, Inc., f/k/a Smith Barney, Inc. Comerica Securities, Inc. Case Number: 05-00419 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES I For Claimant, Reginald J. Anson, hereinafter referred to as "Claimant": Neal J. Blahe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. fk/a Salomon Smith Barney Inc., Claimant v. Neil C. Winterrowd, Respondent Neil C. Winterrowd, Counter-Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Counter-Respondent Case Number: 05-00405 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. Bruce W. Korus, Respondent Case Number: 05-00402 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person » REPRESENTATION OF PARTIES < i For Claimant: Steven T. Masada, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Bruce W. Korus ProSe Olympia, Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the riflimants Case Nnmhm" 05-00387 Floyd E. Griffin Carolyn F. Griffin Names nf thg Kpspnnrtents Hearing Site: Charlotte, North Carolina Morgan Stanley DW Inc. Charles Carl Stoner Eileen Therese Stoner Nature of the Dispute: Customers vs. Member and Associated Persons. KF.PPF.SFNT ATTON OF PABTTFS Claimants Floyd E. Griffin and Carolyn F. Griffin, hereinafter col

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Evan Timothy King and 05-00382 Chicago, Illinois Name of Respondents First Midstate Incorporated Paul D. Brown Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Evan Timothy King ("Claimant") was represented by Steven Gomberg, Esq. and Beau T. Greiman, Esq., Levenfeld Pearlstein, LLC, Chicago, Ill

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00380 Daniel J. Gibby, (Claimant) vs. ACS Specialist Partners, (Respondent) ATTORNEYS: Claimant appeared pro se, Laguna Beach, CA. For Respondent appeared Timothy P. Kebbe, Esq., of the firm Brunelle & Hadjikow, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 24, 2005 CASE SUMMARY: Claimant alleged that he attempted to close a trade, but due to a computer

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Guy Edward Lites, III Case No. 01-00444 Names of Respondents Marion Bass Securities Corp. Jack L. Stapieton Gerald P. Chandik T. Michael Costello Robert J. Brietz, Sr. Marion F. Bass, Jr. Hearing Site: Atlanta, Georgia For Guy Edward Lites, III ("Lites"), hereinafter referred to as "Claimant": S. Lawrence Polk, Esq. and Todd E. Ratne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine V. O'Hagan (Claimant) v. A.G. Edwards & Sons, Inc. and J. Howard Carter (Respondents) Case Number: 05-00375 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Catherine V. O'Hagan hereinafter referred to as "Claimant": Douglas S. Crawford, Esq., Kelly & Brennan, P.C., Wall, NJ. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00373 Jean P. Jenks Name of the Respondent Hearing Site: Tampa, Florida SII Investments, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jean P. Jenks, hereinafter referred to as "Claimant": Kalju Nekvasil, Esq., Goodman & Nekvasil, P.A., Clearwater, Florida. For SII Investments, Inc., hereinafter referr