Award NA§D E)ispute Resolution, Inc. In the Matter of the Arbitration Between: Ravi Myneni, (Claimant) vs. CAL FP (US) Inc., (Respondent) Case Number: 01-00160 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ravi Myneni, hereinafter referred to as "Claimant", appeared pro se. Respondent, CAL FP (US) Inc., hereinafter referred to as "Respondent": Mary P. Watson, Esq., Cleary, Gottlieb, Steen & Hamilton, New York, NY. CASE INFORMA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04166 Delores F. Heilman IRA, Claimant v. Intersecurities, Inc. and Brian P. Connor, Respondents ATTORNEYS: Claimant Delores F. Heilman IRA ("Claimant") appeared pro se, Englewood, FL. For Respondents Intersecurities, Inc. and Brian P. Connor (collectively "Respondents") appeared Adrianne L. Hoehner, in-house counsel, Intersecurities, Inc., Clearwater, FL. NATURE OF DISPUTE: Customer v. Memb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert C. Anderson, Claimant v. Arne R. Domas and A.G. Edwards & Sons, Inc., Respondents Case Number: 04-04160 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: G. Michael Zeno, Jr., Esq. Zeno, Drake and Hively, P.S. Kirkland, Washington For Respondents: Matthew Salamon, Esq. A.G. Edw

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04158 David G. and Patricia M. Guild JTWROS 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 David G. and Patricia M. Guild JTWROS, hereinafter collective

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David Neil Frand Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-04152 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For David Neil Frand, hereinafter referred to as "Claimant": Leon Greenspan, Esq. and Michael Greenspan, Esq., Greenspan & Greens

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry P. Cotrone (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Mijanou M. Spurdle (Respondents) Case Number: 04-04135 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jerry< P. Cotrone ("Cotrone") hereinafter referred to as "Claimant": Christopher C.L. Hooper,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) v. Ciaran McKeever and Brian McKeever (Respondents) Case Number: 04-04134 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Persons. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") hereinafter referred to as "Claimant": Susan M. Guerette,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack E. McClain and Denise McClain (Claimants) v. H&R Block Financial Advisors, Inc. and Stephen D. Putinski (Respondents) Case Number: 04-04133 Hearing Site: Cleveland. Ohio Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Jack E, McClain ("J. McClain") and Denise McClain ("J. McClain"), hereinafter collectively referred to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marian C. Caray, Individually and as Case Number;- 04-04126 Trustee of the Marian C. Caray Revocable Living Trust, Effie M. Kressaty, Individually and ; as Trustee of the Effie Kressaty Rev. Trust, and Kamille A. Kressaty, Claimants. Hearing Site: St. Louis, Missouri v. Royal Alliance Associates, Inc., Pines Financial Group and Salvatore Michael Culella,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04119 Robert Y. Ryan, Trustee FBO Robert Y. Ryan Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Y. Ryan, Trustee FBO Robert Y. Ryan, hereinaf