NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03056 Robin Vaughn Whitney, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Jack B. Grubman, Sanford I. Weill, and Eric Trilling, Respondents ATTORNEYS: Claimant, Robin Vaughn Whitney, ("Claimant"), appeared Pro Se, Madison, CT. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Jack B. Grubman, Sanford I. Weill, and Eric Trilling, ("Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03051 Ron W. Campbell, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: ~~ For Claimant Ron W. Campbell ("Claimant") appeared Celeste M. Chiaramonte, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alan M. Wolper, Esq., of the firm Sutherland, Asbill & Brennan, LLP, Atlanta, G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Millard Raymond Miller and Rose Nielsen Miller, Individually and as Trustees of the Millard and Rose Miller Living Trust Case Number: 04-03049 Hearing Site: St. Louis, Missouri Name of the Respondent Stifel, Nicolaus & Co., Inc. Customers vs. Member Firm OF PAPTIFR Steven W. Koslovsky, Esq. of Maryland Heights, Missouri, represented Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John R. Strachan, Jr., Ellen Pappas, Patricia O'Keeffe, Mary Jo Strachan, Angela Strachan, Frances W. Strachan, Individually and as Co-Trustee of the Strachan Long Term Trust Agreement, and R. Guy Chamberlin as Co-Trustee of the Strachan Long Term Trust Agreement (Claimants) v. UBS Financial Services, Inc., formerly UBS Painewebber, Gerald McGinley, Michael Goss, Nicholas Kel

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William M. Fitzpatrick ' Names of the Respondents AXA Advisors, L.L.C. Karr Earth Associates Inc. Matthew Frisch Case Number: 04-03039 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person. i REPRESENTATION OF PARTIES Claimant, William M. Fitzpatrick, hereinafter r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name nf the Claimant r.ase Number 01-00059 Craig Allen Dejean and TaniaDejean Name nf the Respondents Hearing Site: Houston, Texas Bane One Securities Corp. and Bane One Texas, N. A. PARTTVS Claimants, Craig Allen DeJaen hereinafter collectively referred to as "Claimants": Todd W. LeBlanc Esq., Attorney at Law, located in Beaumont, Texas. Respondents, Bane One Secu

. Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Eudaldo Suarez Silvia Suarez Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Richard Spinale Case Number: 04-03034 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Eudaldo Suarez and Silvia Suarez, hereinafter collectively referred to as

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jean D. Kennedy TTEE U/A Dtd 4/27/98 and Jean D. Kennedy, Individually and Names of Respondents A.G. Edwards & Sons, Inc. and Bret D. Salomon Case Number: 04-03032 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Jean D. Kennedy TTEE U/A Dtd 4/27/98 and Jean D. Kenne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03027 Raymond and Winona Dubois, (Claimants) vs. WM Financial Services, Inc., (Respondent) ATTORNEYS: For Claimants appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, L.L.P., Kingwood, TX. For Respondent appeared Andrew R. Harvin, Esq., of the firm Doyle, Restrepo, Harvin & Robbins, L.L.P., Houston, TX. NATURE OF DISPUTE: Customers vs. Member ,* DATE FILED: April 19, 2

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley Bernstein and SB Investment L.P. (Claimants) v. H & R Block Financial Advisors and Craig Hassell (Respondents) Case Number: 04-03025 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Stanley Bernstein ("Bernstein") and SB Investment L.P. ("SB"), hereinafter collectively referred to as "