NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03813 Carl Rodgers (Claimant) v. Wachovia Securities, Inc. (Respondent) ATTORNEYS: For Claimant Carl Rodgers ("Claimant") appeared Gerald D. Towers, Jr., Esq., of the firm Suggs & Kelly Lawyers, P.A., Columbia, SC. For Respondent Wachovia Securities, Inc. ("Respondent") appeared Todd Ratner, Esq., in-house counsel, Wachovia Securities, LLC, Richmond, VA. NATURE OF DISPUTE: Customer vs. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Efrain T. Suarez, Marilyn E. Suarez, Bruce S. Hampton, Venese I. Hampton, Jonel Ricker in his capacity as Trustee for The Suarez Irrevocable Insurance Trust, The Petra Charitable Trust, The Doran Charitable Trust, Hampton Revocable Insurance Trust, Hampton I Charitable Trust, Hampton 2 Charitable Trust, Claimants v. Pacific Select Distributors, Inc., Multi-Financial Securities Corp. fil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martin F. Tynan, Claimant v. Salomon Smith Barney Inc, n/k/a Citigroup Global Markets, Inc. and John Slater, Respondents Case Number: 04-03809 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael R. White, Esq. Kelegian White & Reed LLP Los Angeles, California For Respondents

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Annie Malone Foundation, Inc. and • Case Number- 04-03800 Annie Malone Children and Family Service Center, Inc. Claimants, v. Merrill Lynch, Pierce, Fenner& Smith, Inc. and Hearing Site: St. Louis, Missouri Shariq Mansuri, Respondents NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Annie Malone Foundation

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaineWebber Incorporated, (Claimant) vs. John J. Kurz, (Respondent) Case Number: 01-00126 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, PaineWebber Incorporated, hereinafter referred to as "Claimant": Joel E. Davidson, Esq., Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent, John J. Kurz, hereinafter referred to as "Respondent", pro se, did not

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paula Lewis, individually and as Executrix on behalf of the Estate of George Lewis (Claimant) vs. Paul L. Forchheimer & Co., Inc., Mark D. Goldsmith and US Clearing a/k/a US Clearing Services (Respondents) Case Number: 04-03 795 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimants Paula

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kashner Davidson Securities Corporation (Claimant) v. Steven Mscisz, Mark Mscisz, and Lynda Mscisz (Respondents) v. Victor Kashner, Matthew Meister, and Timothy Varchetto (Third-Party Respondents) Case Number: 04-03793 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customers (Initial Claim). Customers vs. Member (Counterclaim) Customers vs. Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03786 James R. and Elizabeth A. McCarthy JTWROS Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James R. and Elizabeth A. McCarthy JTWROS, hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03783 Stanley Rogoff Names of the Respondents Hearing Site: Orlando, 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 Stanley Rogoff, hereinafter referred to as "Claimant": Douglas H. Glicken, P.A., L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nariies of the Claimants Lee Gold and Rita Gold Trustees, The Lee Gold Revocable Living Trust Names of the Respondents UBS PaineWebber, Inc. Susan E. Arnold Case Number: 04-03781 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lee Gold and Rita Gold Trustees, The Lee Gold