NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08507 Vern L. Moore (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) ATTORNEYS: ~ For Claimant Vern L. Moore ("Claimant") appeared Jan Graham, Esq., of the Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") appeared Ann Parry, Esq., in-house counsel, Citigroup

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc. n/k/a Wachovia Securities, Inc., Claimant v. Anthony B.J. Black, Respondent Anthony B J. Black, Counter-Claimant v. First Union Securities, Inc. n/k/a Wachovia Securities, Inc., Counter-Respondent Case Number: 01-00391 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent First Union Securities, Inc. n/k/a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08506 Charles Anderson, Claimant v. Morgan Stanley & Co., Inc., Respondent ATTORNEYS: Claimant Charles Anderson ("Claimant") appeared pro se, Boston, MA. For Respondent Morgan Stanley & Co., Inc. ("Respondent") appeared Harrison Kaufman, Esq., in-house counsel, Morgan Stanley & Co., Inc., Purchase, NY. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: December 14, 2004. CASE SUMMAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Haruko Hochi, individually and as trustee of The Haruko Hochi Trust, Claimants v. Linsco/Private Ledger Corp., Joshua Van Ryswyk, Oai Baccam a/k/a Dan Baccam, Patric Baccam, Baccam & Associates, Inc., and Baccam & Company Insurance Services, Inc., Respondents Case Number: 04-08505 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Members, and Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dino A. Primatesta-Melendez (Claimant) v. Max International Broker-Dealer Corporation, Jamie A. Gomez-Blaya, and Fiserv Securities, Inc. (Respondents) Case Number: 04-08503 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Dino A. Primatesta, hereinafter referred to as "Claimant": Raymond A. Cornell,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack A. Davis, the Jack A. Davis" A" Trust, and the Jack A. Davis "B n Trust, Claimants v. Legacy Financial Services, Inc., Respondent Case Number: 04-08502 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Richard A, Nervig, Esq. Richard A. Nervig, PC Fallbrook, California For Respondent: Jona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08496 Robert Todoroff Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Robert Todoroff, hereinafter referred to as "Claimant", appeared pro se. For Morgan Stanley DW Inc. ("MSDW"), hereinafter referred to as "Respondent": David Oppenheim,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp Claimant Rayza Karey Name nf the Respondent • Scottrade, Inc. Case Number: 04-08481 Hearing Site: St. Louis, Missouri Nature of the Dispute: Association Person vs. Member Firm REPRESENTATION OF PARTIES Rayza Karey ("Karey"), hereinafter referred to as "Claimant": G. Ware Cornell, Jr., of the law firm Cornell & Associates, P. A., located in Weston, Florida

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08480 Guian A. Roberts Guian A. Roberts Revocable Trust, UAD 1/10/92 Names of the Respondents Hearing Site: Tampa, Florida FMSBonds, Inc. f/k/a First Miami Securities, Inc. Van Zovluck Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Guian A. Roberts and Guian A. Roberts Revocable Trust

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fox & Company Investments, Inc., Claimant v. SWS Securities a/k/a Southwest Securities, Inc., Respondent Case Number: 04-08477 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES For Claimant: Timothy J. Thomason, Esq. Mariscal, Weeks, Mclntyre & Friedlander Phoenix, Arizona For Respondent: Corbet F. Bryant, Jr., Esq.