Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06195 James Larry Gall and JoAnn Gall, Co-Trustees James Larry Gall Trust UAD 4/30/92 i Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jam

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Case Number; 04-06174 Larry W. Buchanan f/b/o Larry W. Buchanan Revocable Trust Names of the Respondents Citigroup Global Markets, Inc. CTc/a Salomon Smith Barney, Inc. Jack B. Grubman aring Sitft- Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Larry W. Buchanan f/b/o Larry

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06145 Bear, Stearns & Co., Inc., Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Bear, Stearns & Co., Inc. ("Claimant") appeared Daniel S. Taub, Esq., in-house counsel, Bear, Steams & Co,. Inc., New York, NY. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Kenneth Spielfogel, Esq., in-house counsel, Merrill Lynch,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur M. Mintz individually, Abby Mintz individually, Arthur M. Mintz and Abby Mintz as Trustees for Mintz Family Trust dated July 7, 1988, Claimants v. Centex Securities, Inc. and Ron D. Brouillette, Jr., Respondents Case Number: 01-00282 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Ronald Marron, Esq. Marron & Wilson, LLP San Dieg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian and Regina Bergner (Claimants) v. J.B. Hanauer & Co., and Chris J. Plechy (Respondents) Case Number: 04-06129 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Brian and Regina Bergner hereinafter collectively referred to as "Claimants": Glen J. Vida, Esq., Springfield, NJ. Respondents J.B.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name flHJmnnt 04-06128 Lahna J. Specht Name nf the Respondent Merrill Lynch, Pierce, Fenner& Smith, Inc. Henring Site; Norfolk, Virginia Nature of the Dispute: Customer vs. Member. OF PAPTTF.S Claimant, Lahna J. Specht, hereinafter referred to as "Claimant", was represented by W. Scott Greco, Esq., Greco & Greco, P.C., McLean, Virginia, Respondent, Merrill Ly

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06112 Rodney L. Vaughan Deborah J. Vaughan Names of the Respondents Hearing Site: Tampa, Florida Suntrust Securities, Inc. James Blake Buchanan, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rodney L. Vaughan ("R. Vaughan") and Deborah J. Vaughan ("D. Vaughan"), hereinafter c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06111 Michael L. Steinberg and Miriam F. Steinberg Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW Inc. Jason Gionet Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael L. Steinberg and Miriam F. Steinberg, hereinafter collectively referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Jean Simpkins, individually, as trustee of the Mary Jean Sbnpkins Trust DTD 8/12/99, and as custodian for Bradley Cameron Crowe and Ciera Anabelle Crowe, Claimants v. A.G. Edwards & Sons, Inc. and Michael L. Tahrnoush, Respondents Case Number: 04-06107 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIE

NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the r.lnimnnt ' ' P-HM Number 04-06094 SusanB.Wald nf the ^ftgpnndentg Hearing Site 1 Washington, DC Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. WFPRFSF.NTATTflN OF PAPTTF.S Claimant, Susan B. Wald, hereinafter referred to as "Claimant", was represented by William