Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Irving Steinberg and Shirley Steinberg JTWROS Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 04-03778 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Irving Steinberg and Shirley Steinbe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03776 Sally U. Jones, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Sally U. Jones ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper Ridge & Lantinberg, Jacksonville, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Rose-Marie Coppola Names 'nf the Respondents Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. David H. Marx rase Number 04-03766 aring Site- Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTON OF PARTTFS Claimant, Rose-Marie Coppola, hereinafter referred to as "Claimant", was represented by J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03761 John Herron, Executor of the Estate of Vincent Herron, Claimant v. Quick & Reilly, Inc. and Christopher F. Duffy, Respondents ATTORNEYS: Claimant John Herron, Executor of the Estate of Vincent Herron ("Claimant") appeared pro se, Noblesville, IN. For Respondent Quick & Reilly, Inc. appeared Matthew S. Diggins, Esq., in-house counsel, Quick & Reilly, Inc., New York, NY. Responde

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. Claimant, vs. Scott Rackley, Respondent. Situs: Dallas, Texas. Case Number: 04-03757 NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq. of Morgan Keegan & Company, Inc., Memphis, Tennessee. Respondent did not ente

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants DiMare Homestead, Inc. Case Number: 01 -00115 DiMare Ruskin, Inc. DiMare Johns Island, Inc. DiMare Management, Corp. Paul J. DiMare Charitable Foundation Paul J. DiMare, Jr. Anthony DiMare Scott DiMare Gino DiMare Names of the Respondents Hearing Site: Boca Raton, Florida Donaldson Lufkin & Jenrette Securities Corporation

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy M. Hopkins, individually and as Trustee of the Dorothy M. Hopkins Trust, and William C. Hopkins, as Trustee of the Dorothy M, Hopkins Trust and 04-03756 Kansas City, Missouri Name of Respondents 1MB Scout Brokerage Service, Inc. Mark Wheeler Harris Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. David Faraca (Respondent) Case Number: 04-03755 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. hereinafter referred to as "Claimant": Jennifer Woods Burke, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent David Faraca hereinafter referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maureen S. Slisz (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Thomas J. Renzi (Respondents) Case Number: 04-03751 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Maureen S. Slisz ("Slisz") hereinafter referred to as "Claimant": Robert A. Dean, Esq., the Dean

Award NASD Dispute Resolution In the Matter of the Arbitration Between: , PagR "N(iiTnhpr- 04-03749 Dominion Investor Services, Inc. NflTrjp nf thg^^pon^^nt^oiTPt^r-CJ^im^qt Hc-ftri^g ^itf Dallas Texas Joel I. Franklin NATITRF OFTTTF Member Firm vs. Associated Person Claimant/Counter-Respondent Dominion Investor Services, Inc., hereinafter referred to as "Dominion": George M. Bromley, Esq., of the Law Offices of George "Rocky" Bromley, locat