Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen J. Slocum, Claimant v. Bruce Campbell, Brookstreet Securities Corporation, Interfirst Capital Corporation, and Wedbush Morgan Securities Inc., Respondents Case Number: 04-03988 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents Bruce Campbell., B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03985 Jules Traighten and Sandra Traighten, Tenants in Common, Jules Traighten and Judith Tevrow Helfant, JTWROS, and Jules Traighten, Individually, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: ~~~ " For Claimants, Jules Traighten and Sandra Traighten, Tenants in Common, Jules Traighten and Judith Tevrow Helfant, JT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth D. Rickel, and on behalf of certain individuals and entities that he represents (Claimants) vs. MedFirst Capital Resources, Inc., MedFirst Healthcare, Inc., Gary S. Pagar, and James A, Ripp (Respondents) Case Number: 01-00140 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Non-Members REPRESENTATION OF PARTIES Claimants Kenneth D. Rickel, and on beh

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03984 Jerry La Mura, TTEE FBO The Jerry La Mura Trust and Jerry LaMura, Individually, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Jerry La Mura, TTEE FBO The Jerry La Mura Trust and Jerry LaMura, Individually, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners Newb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kathleen A. Miller nf the Respondent UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. Case Number- 04-03967 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Kathleen A. Miller, hereinafter referred to as "Claimant", was represented by Michael J. Belts, Esq., Betts L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Darryl R. Settles and Case Number: 04-03956 Hearing Site: Southfield, Michigan Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Wachovia Securities, LLC, Prudential Equity Group, LLC, and David Gallina NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Darryl R. Settles ("Claimant") was represente

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03948 Keylon L. Patch and Helen T. Mathis, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Keylon L. Patch and Helen T. Mathis ("Claimants"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wayman Dale Curtsinger i Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-03944 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Wayman Dale Curtsinger, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary L. Walsh-Durant IRA and Merrimac Trust U/A DTD 18-June-1996, Mary L. Walsh- Durant and Charles W. Durant, Trustees (Claimants) v. A.G. Edwards & Sons, Inc. and Daniel R. Santanello (Respondents) Case Number: 04-03938 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Mary L. Walsh-Durant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03932 Robert J. Janoff, Claimant v. Prudential Equity Group, L.L.C. and Constance Delise, Respondents ATTORNEYS: For Claimant, Robert J. Janoff, ("Claimant"), appeared Robert J. Cava, Esq. of the Law Offices of Robert J. Cava, P.C., West Babylon, NY. Respondent, Prudential Equity Group, L.L.C., appeared through in-house counsel Carole A. McDonald, New York, NY. Respondent, Constance