Award NASD Dispute Resolution In the Matter of the Arbitration Between; Doris Thornton-Scott, Claimant v. Carfton M. Lennon and Mark A. Tabit, Respondents Case Number: 04-05008 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: Doris Thornton-Scott In Pro Per Stone Mountain, Georgia For Respondent Cartton M. Lennon: C. William Kircher, Esq. Law Offices of C. Wil

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00210 Frank Sirico and Barbara Sirico Names of the Respondents Hearing Site: Boca Raton, Florida A.G. Edwards & Sons, Inc. and Jeffrey Sica Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frank Sirico and Barbara Sirico, hereinafter collectively referred to as "Claimants": John C.

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: ROBERT RODRIGUEZ vs. FIDELITY BROKERAGE SERVICES, LLC Case Number: 04-05002 Hearing Site:: Dallas, Texas Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF THE PARTIES Claimant Robert Rodriquez ("Rodriguez"): Larry M. Lesh, Law Office of Larry M. Lesh 5949 Sherry Lane, Suite 501 Dallas, Texas 75225 Respondent Fidelity Brokerage Services, LLC

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Goncalves (Claimant) vs. Citigroup Global Markets, Inc. and Thomas Nolan (Respondents) Case Number: 04-04998 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anthony Goncalves hereinafter referred to as "Claimant": Michael A. Stratton, Esq., Stratton Faxon, New Haven, CT. ' Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Day (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 04-04952 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant John Day hereinafter referred to as "Claimant": David Dretzin, Esq., New York, NY. Respondent Citigroup Global Markets, Inc. hereinafter referred to as "Respondent": Ira G.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04949 Raymond F. Conlon, Claimant vs. Lehman Brothers, Inc., Respondent ATTORNEYS: Claimant Raymond F. Conlon, ("Claimant"), appeared pro se, Laguna Beach, CA. For Respondent Lehman Brothers, Inc., ("Respondent"), appeared Patrick Diamond, Esq., in- house counsel, Lehman Brothers, Inc., New York, NY. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: My 6, 2004. CASE SUMMAR

NASD DISPUTE RESOLUTION AWAKD NASD DISPUTE RESOLUTION CASE: 04-0494$ Jeffrey P. Cahn (Claimant) v. Sheen Financial Resources and Brian Sheen (Respondents) ATTORNEYS: For Claimant Jeffrey P. Cahn ("Claimant") appeared Theodore M. Davis, Esq., Brooklyn, NY. For Respondents Sheen Financial Resources and Brian Sheen (collectively Respondents") appeared Brian J. Sheen, Boca Raton> FL. NATURE OF DISPUTE: Associated Person vs. Member and Associated Person.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04947 CIBC World Markets Corp., Claimant v. Carla Cooper, Respondent ATTORNEYS: For Claimant CIBC World Markets Corp. ("Claimant") appeared Michelle A. Murphy, Esq., in- house counsel, CIBC World Markets Corp., New York, NY. Respondent Carla Cooper ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: July 12, 2004.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04946 Lawrence Gemma, Claimant v. Prudential Equity Group, LLC and Russell Smith, Respondents ATTORNEYS: Claimant Lawrence Gemma ("Claimant") appeared pro se, Noank, CT. For Respondents Prudential Equity Group, LLC and Russell Smith (collectively "Respondents") appeared Carole A. McDonald, Esq., in-house counsel, Prudential Equity Group, LLC, New York, NY. NATURE OF DISPUTE: Customer v.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case NnnVhei" 04-04941 William C. and Alice Van Sciver Names of the-Re.Rprmdents- — Wachovia Securities, LLC Prudential Equity Group, LLC Walter J. McCormac Stanley P. Hadam Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PAttTTKS Claimants, William C. and Alice Van Sciver, hereinafter collectively referred