Award NASD Dispute Resolution In the Matter of the Arbitration Between: Declan Doherty, (Claimant) vs. Joseph Gunnar & Co., LLC and James J. Crew, (Respondents) Case Number: 01-00106 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Declan Doherty, hereinafter referred to as "Claimant": Michael S. Press, Esq., Warner & Scheurman, New York, NY (Mr. Press was with the law firm of Riad & Associates, P.C., New Yojjc, NY, when this claim w

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant JJ.B. Billiard, W.L. Lyons, Inc. Case Number- 04-03608 Name of the Respondent Charles E. Six, Jr. aring Site- Pittsburgh, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant JJ.B. Hilliard, W.L. Lyons, Inc., hereinafter referred to as "Claimant", was represented by Matthew J. Morelli, Esq., Ulmer &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ' • • * Mary Beth Rodriquez and 04-03603 Phoenix, Arizona Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES Mary Beth. Rodriquez ("Claimant") was represented by Milton pried, Esq., Woska& ; Hayes,LLP, Kijigwood,Texas./ ;. . . , '•-•-.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luwain L.S. Ng TTEE Luwain L.S. Ng Charitable Remainder Trust, Luwain L.S. Ng, James W.S. Ng TTEE James W.S. Ng Charitable Remainder Trust, and James W.S. Ng TTEE James W.S. Ng Revocable Trust, Claimants v. A.G. Edwards & Sons, Inc. and David J. Sao Marcos, Respondents Case Number: 04-03601 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Lincoln, Jr. Claimant, Case Number: 04-03600 vs. RBC Dain Rauscher, Inc., Barbara June Forrest, and Thomas Eugene Riley, Respondents. Hearing Site: Dallas, Texas NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, James R. Lincoln, Jr., hereinafter referred to as "Claimant": Robert Bertsch, Esq.

'. AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant * Gregory C. Krych, and individually and on behalf of his IRA accounts and Respondents Raymond James & Associates, Inc., Oppenheimer & Co., Inc., and Stephen M. Carlson Case Number: 04-03596 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Members and Associated Person ! . , i REPRESENTATION OF PARTIES •• ' ' "

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Brenda Exline v. 04-03595 Denver, Colorado Respondents Dominick & Dominick, L.L.C., James H. Elliot Paul E. Elliot, Dominick & Dominick Advisers, L.L.C., Elco Energy Fund, L.P. and Elco Management Company, L.L.C. NATURE OF DISPUTE Customer v. Member, Associated Persons and Non-Members REPRESENTATION OF PARTIES Brenda Exline ("Claihiant") was represent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03577 Baggett Family Trust, Claimant v. Morgan Stanley DW, Inc., Respondent ATTORNEYS: " " " " For Claimant, Baggett Family Trust ("Claimant") appeared Paul N. Young, CEO/NAR of the Securities Arbitration Group, Inc., Los Angeles, CA. For Respondent Morgan Stanley DW, Inc. ("Respondent") appeared Judith M. Rosenberg, Esq., Law Division, Morgan Stanley, San Francisco, CA. NATURE OF DISPUT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03576 Peyton D^Cauley, Claimant vs. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack Grubman, Respondents ATTORNEYS: ~ —— _ . _ _—__ For Claimant Peyton D. Cauley ("Claimant") appeared George W. Healy, IV, Esq., Gulfport, For Respondents Citigroup Global Markets, Inc. tfk/a Salomon Smith Barney, Inc. and Jack Grubman (collectively "Respondents") appeared Ann Parry, Es

P2 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03574 Gary L. Miller, Claimant vs. Citigroup Global Markets, Inc. flk/a Salomon Smith Barney, Inc. and Jack Grubman, Respondents ATTORNEYS: ~ "" ~ ~ ~ ~ ~ For Claimant Gary L. Miller ("Claimant**) appeared George W. Healy, IV, Esq., of the firm George W. Healy, IV, & Associates. Gulfport, MS. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney