Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03628 Terrie R. Dileo Joseph R. Dileo Joseph R. Dileo, IRA Names of the Respondents Hearing Site: Tampa, Florida American Express Financial Advisors, Inc. A. Blythe Miller Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Terrie R. Dileo, Joseph R. Dileo and Joseph R. Dileo, IRA, her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03627 Willodean P. Precise, Individually and as IRA Holder Name of the Respondent Hearing Site: Memphis, Tennessee Duncan Williams, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Willodean P. Precise, Individually and as IRA Holder, hereinafter referred to as "Claimant": H, Naill Falls, Jr., Esq., Falls

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03626 Genevieve Rae Jones Names of the Respondents Hearing Site: Atlanta, Georgia Smith Barney a/k/a Citigroup Larry L. Hamel Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Genevieve Rae Jones, hereinafter referred to as "Claimant": Randy Jones, Atlanta, Georgia, pursuant to the General

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eduardo Don, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, E. Joseph McDonnell, John S. Buchanan, Luis F. Ramirez, Michael J. O'Leary, and Melinda L. De Bruyne, Respondents Case Number: 04-03623 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Kristin M, Cano, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney Inc.), Claimant v. Jessica A. Berry, Respondent Case Number: 04-03618 Situs: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Kinnery Patel, Esq. The Mozingo Law Firm Newport Beach, California Respondent did not enter an appearance in this matter

Award NASD Dispute Resolutibn In the Matter of the Arbitration Between: James F. Neiderer and Ruth A. Neiderer, Claimants v. Pruco Securities, LLC, Respondent • Case Number: 04-03617 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES i • For Claimants: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Respondent: Fred N. Knopf, Esq. Ami Shah, Esq. Wilson

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary Paul vs. Case Number: 04-03613 Hearing Location: Chicago, Illinois Names of Respondents Morgan Stanley DW, Inc. and Branch Haymans NATURE OF DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Gary Paul ("Claimant") was represented by Erwin Cohn, Esq., Cohn & Conn, Chicago, Illinois. Morgan Stanley DW, I

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ron Peterson and Names of Respondents Merrill Lynch Pierce Rentier & Smith, Inc., Maureen M. Raihle and John Peter Verbockel Case Number:. 04-03611 Hearing Site: Chicago, Illinois NATURE OR DISPUTE Customer v. Member and Associated Persons REPRESENTATION OR PARTIES Ron Peterson ("Claimant") was represented by Andrew Stoltmann, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the: Claimant J.J.B. Milliard, W,L. Lyons, Inc. TSFamR nf the Respondent Gary Thomas Bolt Case Number' 04-03610 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Member vs. Associated Person. KKPRKSRNTATTON OF PAKTTF.S Claimant J.J.B. Milliard, W.L. Lyons, Inc., hereinafter referred to as "Claimant", was represented by Matthew J. Morelli, Esq., U

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant JJ.B. Billiard, W.L. Lyons, Inc. and 04-03609 Nashville, Tennessee Name of Respondent David Scott O'Block Nature of the Dispute: Member and Associated Person. REPRESENTATION OF PARTIES JJ.B. Milliard, W.L. Lyons, Inc. ("Claimant") was represented by Matthew J. Morelli, Esq., Ulmer Berne LLP, Cleveland, Ohio. David Scott O'Block ("Respondent") was