Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret J. Smith Living Trust and Charles R. Smith IRA (Claimants) v. Edward Jones (Respondent) Case Number: 04-05350 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Margaret J. Smith Living Trust ("Smith Trust") and Charles R. Smith IRA ("Smith IRA") hereinafter collectively referred to as "Claimants": David P. Me

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05345 National Securities Corporation, Claimant v. Andrew Croxson, Respondent ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo., President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Andrew Croxson ("Croxson") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED

DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05344 Lillian Alison Weiner Trust, Nancy and Mitchel Shapiro, TTEES, Claimant v. Citigroup Global Markets, Inc., Respondent ATTORNEYS: For Claimant Lillian Alison Weiner Trust ("Claimant") appeared David E. Sternberg, Esq., of the firm Wapner, Newman, Wigrizer & Brecher, Philadelphia, PA. For Respondent Citigroup Global Markets, Inc. ("Respondent") appeared Ann Parry, Esq., in- house counsel,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05341 Marta Eugenia Palomo TTEE U/A 2/14/84 by Marta E. Palomo FBO Victoria Suarez-Palomo Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Marta Eugenia Palomo TTEE U/A 2/14/84 by Marta E. Palomo FBO Victoria Suarez

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lillian Kouzmanoff and 04-05332 Chicago, Illinois Name of Respondent Ameritrade, Inc., Successor in Interest to Datek Online Financial Services, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Lillian Kouzmanoff ("Claimant") was represented by Tracy Pride Stoneman, Esq., Westcliffe, Colorado. Ameritrade, Inc., Successo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Bing and Arlene Bing, Individually and as Trustees of the Bing Family Revocable Living Trust dated April 10, 1989, Claimants v. Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney Inc. and Kandy E. Quigg, Respondents Case Number: 04-05329 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATIO

Award NASD Dispute Resolution In the Matter of the Arbitrations entitled "Micke Consolidated Case": Consolidated Case Number: 04-05322 Joshua D. Micke vs. 1717 Capital Management Company, et al (the "Micke Case") 04-05322 Jean W. Kraft Toscano, et al vs. 1717 Capital Management Company, et al (the "Toscano Case") 04-05855 James L. Heisler vs. 1717 Capital Management Company, et al (the "Heisler Case") 04-07152 Case Number: 04-05322 Hearing Site: Portlan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05316 Raymond Frederick Conlon (Claimant) v. Charles Schwab & Co., Inc. (Respondent) ATTORNEYS: Claimant Raymond Frederick Conlon ("Claimant") appeared pro se, Laguna Beach, CA. For Respondent Charles Schwab & Co., Inc. ("Respondent") appeared Brandon K. Hemley, Esq., previously Garrett R. Wynne, Esq., in-house counsel, Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: As

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mead Family Trust (Claimant) v. UBS Financial Services, Inc. and Thomas J. Frank (Respondents) Case Number: 04-05309 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mead Family Trust hereinafter referred to as "Claimant": Mark E. Maddox, Esq., and Thomas K. Caldwell, Esq., Maddox, Harge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John £.. Wozniak Leanilda M. Wozniak Name's of the Respondents Vestpoint Securities, Inc. NowTrade, Corp. Charles Keith Byington Eric Glenn Hall Christopher Pat Winchell Case Number: 04-05307 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. i REPRESENTATION OF PARTIES For Jo