Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MflmftnfthePigimant CasfiNnmhRT. 04-05933 Joseph Catalano Site- Washington, D.C. Legacy Financial Services Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person KEPPFSFNTATTHNr OFPARTIFS Claimant Joseph Catalano, hereinafter collectively referred to as "Claimant", was represented'by William B. Young, Esq., Hooper & Weiss,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05921 Nadia Delia Volpe (Claimant) v. Sterling Financial Investment Group, Inc., Brian Lieberman, Jodi Isdith, and George Bush (Respondents) ATTORNEYS: ~ ~ ~ ~ ~ Claimant appeared pro se, Kobe Sound, FL. For Respondents Sterling Financial Investment Group, Inc., Brian Lieberman, and Jodi Isdith appeared Marc L. Abramson, Esq., in-house counsel, Sterling Financial Investme

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05913 Margaret M. Thayer Trust and Robert W. Thayer Trust, (Claimants) vs. Citigroup Global Markets, Inc., f/k/a/ Salomon Smith Barney, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimants appeared James Richard Hooper, Esq. of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents appeared Michael D. Wallander, Esq., of the firm Greenberg Traurig, LLP, West Palm Beach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bernard Alan Silver Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 04-05902 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernard Alan Silver ("Silver"), hereinafter referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05899 Roger E. Stanley, IRA 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 Roger E. Stanley, IRA, hereinafter referred to as "Claimant": Michael B. Lync

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Steven D. O'Donneli, Respondent Case Number: 01-00265 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant First Union Securities: Diane C. Fischer Kane and Fischer Chicago, Illinois For Respondent Steven O'Donneli: R. Hays Goddard Goddard and Wetherall Bellevue, Washington CASE INFORMATION State

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05896 Robert B. Oleskow, Diana A. Oleskow Lubich, R.B. Oleskow & D.A. Oleskow Lubich Trust of '99 Claimant v. CITIGROUP GLOBAL MARKETS, INC. f7k/a SOLOMON SMITH BARNEY, INC. and JACK GRUBMAN ATTORNEYS: For Claimant: James Richard Hooper, Esquire: Hooper & Weiss, L.L.C ,Orlando, Florida. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grub

Award NASD Dispute Resolution In the Matter of the Arbitration Between: •Kfamp nf fl^ rifrimaflt f>BR ^n^pf 04-05891 Bradley J.Albert pf th p 'Respnnderflg Hearing Sit p ' De Moines, Iowa Princor Financial Services Corporation, and Princor Financial Group NATTTPF Off TTTF Associated Person v. Member Firm and Non-Member Firm without Contract to Arbitrate PFPRF< SFNTATTON OF PAHTTP.S Claimant Bradley J, Albert, hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Frances Bostian, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert F. Gallo, Respondents Case Number: 04-05887 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: James E. Towery Hoge Fenton Jones & Appel Inc. San Jose, California For Respondents: Philip A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James S. Dickerson, on behalf of himself, his Individual Retirement Account and as Trustee for the Dickerson Family Trust and Mary Dickerson, on behalf of herself, her Individual Retirement Account and as Trustee for the Dickerson Family Trust, Claimants v. Prudential Equities Group, LLC 17k/a Prudential Securities Incorporated, A.G. Edwards & Sons, Inc., David Harrison Rascoe, and Shos