NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06054 Bessie Pease Spillman, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: For Claimant appeared Jan Graham, of Jan Graham Law Offices, Salt Lake City, UT. For Respondent appeared Mark L. Parmelee, of the firm Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 23, 2004 CASE SUMMARY: Claimant alleged that Respondent

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Larry Kraus and Sharon Kraus and 04-06045 Kansas City, Missouri Signator Investors, Inc. James Arthur Gallogy, d/b/a The Heartland Gallogly Agency Stephen Dewey Godfrey, in [R4] Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Larry Kraus and Sharon Kraus ("Claimants") were represent

Award NASD Dispute Resolution In the Matters of the Arbitration Between: David L. Katz Living Trust, David L. Katz, Trustee, Claimant v. Syndicated Capital, Inc. and Michael J. DeCoux, Respondents Michael J. DeCoux, Counter-Claimant v. David L. Katz Living Trust, David L. Katz, Trustee, Counter-Respondent Michael J. DeCoux, Cross-Claimant v. Syndicated Capital, Inc., Cross-Respondent Michael J. DeCoux, Third-Party Claimant v. Faith Li Lee, Third-Party R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Southfield Investors Limited Partnership v. Jeffrey Goldenberg and Josephine Linden Case Number: 04-06036 Hearing Site: New York, New York Nature of the Dispute: Customer v. Associated Persons. REPRESENTATION OF PARTIES Claimant Southfield Investors Limited Partnership ("Southfield") hereinafter referred to as "Claimant": Harvey J. Kesner, Esq., Olshan Grundman Frame Rosenzweig &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fred Hurst, (Claimant) vs. Prime Charter, Ltd., Morton Cropper and Bruce Cropper (Respondents) Case Number: 01-00276 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Fred Hurst, hereinafter referred to as "Claimant", appeared pro se. Represented at the hearing in this matter by: Kent Gross, Esq., New York, NY. Respondent, Prime Charter, Ltd., hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant f!ase Number: 04-06015 ETrade Securities, LLC Names of the. Respondents Hearing Site: Washington, D.C. BinKe International United Business, Inc. Nature of the Dispute: Member vs. Customers. RKPRFSFIVTATinN OF PARTIES Claimant, E*Trade Securities, LLC, hereinafter referred to as "Claimant", was represented by JohnBersin, Esq., E*Trade Securities, LLC,

NASD DISPUTE RESOLUTION AWARD >T ASD DISPUTE RESOLUTION CASE: 04-06006 Susan L. Pral, Claimant v. Piper Jaffray & Co., Respondent ATTORNEYS: Claimant, Susan L. Pral, ("Claimant") appeared pro se, St. Charles, MO. Respondent, Piper Jafrray & Co., ("Respondent") appeared through its in-house counsel, Joseph D. Fleming, Esq., Minneapolis, MN. NATURE OF DISPUTE: Customer vs. Member. " DATE FILED: August 23,2004. " ~~~ CASE SUMMARY: Claimant alle

NASD DISPUTE RESOLUTION AWARP NASD DISPUTE KBSOLUTION CASE: 04-0^004 Evelyn A. Jensen, Claimant v. Scottradc, Inc., Respondent ATTORNEYS:,; -• .;,' .•-,:,....;. , : : : ,;; ,. ; '..- .;. ::li " Claisiaiit Krelyn A. Jensefc pGS aimaiit") appeared pM se> For Respondent Scottrade, inc. C*Responderit") appeared ABdrtw G; Small, Esq,, in-house lj Scottrade, lac:,, St. Louis, MO. ;^ : NATURE OF DISPUTE: Customer vs. Member.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Laurie Andrijeski Names of the Respondents Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. JackB. Grubriian Case Number: 04-05994 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Laurie Andrijeski, hereinafter referred to as "Claimant": Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Hugh M. McAdams & Patricia M. McAdams JTWROS Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-05988 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hugh M. McAdams & Patricia M. McAdams J