Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bruce L. Lamb IRA Names nf the Respondents Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. Jack B. Grubman . Nnmtwr- 04-06093 Hearing SiTp: Charlotte, North Carolina Nature of the Dispute; Customer vs. Member and Associated Person. RF.PRFSRNTATTON OF PAKTTP.S Claimant, Bruce L. Lamb IRA, hereinafter referred to as "Claimant", w

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond J. Masek (Claimant) v. Citigroup Global Markets, Inc., Holly Becker, Sallie Krawcheck and Ted Marroulis Case Number: 04-06081 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Raymond J. Masek, hereinafter referred to as "Claimant," appeared pro se. Respondents Citigroup Global Markets, Inc.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06078 Bernice Chapman a/k/a Bunny Arbona, Individually and as the Personal Representative of The Estate of Clara Bruches Paul Chapman Name of the Respondent Hearing Site: New Orleans, LA Whitney Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bernice Chapman a/k/a Bunny Arbona., Individ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lawrence J. Sarkis, D.D.S. Claimant v. Naomi R. Monschein and Monschein & Associates, Respondents Case Number: 01 -00279 Hearing Site: San Francisco, California For Claimant: Paul L. Warner, Esq. Jeffer, Mangels, Butler and Marmaro San Francisco, California For Respondents Naomi R. Monschein and Monschein & Associates: Gilda R. Turitz, Esq. Sideman & Bancroft LLP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Planning Corporation, LLC (Claimant) v. Robert Lesser (Respondent) Case Number: 04-06074 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant National Planning Corporation, LLC hereinafter referred to as "Claimant": Dan Hulea, Esq., previously Dianna McCarthy, Esq., Winget Spadafora & Schwartzberg, LLP, New

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06070 Robert J, Walters, Claimant v. Sterling Financial Investment Group, Inc. and Anthony DaCosta, Respondents ATTORNEYS: Claimant, Robert J. Walters, ("Claimant") appeared Pro Se, Anaheim, CA. Respondents, Sterling Financial Investment Group, Inc. and Anthony DaCosta, (collectively "Respondents"), appeared through in-house counsel Marc L. Abramson, Esq., Boca Raton, FL. NATURE OF DISPU

CASE: 04-06069 Surinder Mahant, Claimant v. HARRISDirect, LLC, Respondent ATTORNEYS: Claimant Surinder Mahant ("Claimant") appeared pro se, Randolph, NJ. For Respondent HARRISDirect, LLC ("Respondent") appeared William B. Baran, Esq., in- house counsel, HARRISDirect, LLC, Chicago, IL. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: August 23, 2004 CASE SUMMARY: Claimant alleged that Respondent failed and refused to execute his order in a timely

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael and Nancy Morrell, Claimants v. Stuart K. Simon and Wedbush Morgan Securities Inc., Respondents Case Number: 04-06067 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John Messina, Esq. John Christensen, Esq. Messina Bulzomi Tacoma, Washington For Respondent Wedbush Morg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John P. Carriero (Claimant) v. UBS Securities, LLC (Respondent) Case Number: 04-06059 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, John P. Carriero ("Carriero"), hereinafter referred to as "Claimant": Saul Roffe, Esq., Sirota & Sirota LLP, New York, NY. Respondent, UBS Securities, LLC, ("UBS"), hereinaft

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06055 Clair J. Read and Sherrie A. Read, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: ~~ For Claimants, Clair J. Read and Sherrie A. Read, ("Claimants")* appeared Jan Graham, of Jan Graham Law Offices, Salt Lake City, UT. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared A. Jami