Award NASD Dispute Resolution In the Matter of the Arbitration Between; Michael and Mary Kim Thomas, Claimants, v. Prudential Securities, Inc. n/k/a/ Prudential Equity Group, LLC, Respondents. Case Number: 04-02951 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Michael and Mary Kim Thomas (the "Thomases"), hereinafter collectively referred to as "Claimants": Keith L. Griff

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02950 William L. Jennings Name of the Respondents Hearing Site: Dallas, Texas Citigroup Global Markets, Inc.; Jack B. Grubman; and, Citigroup, Inc. NATURE OF THE DISPUTE Customer vs. Member Firm, Associated Person and Non-Member Firm REPRESENTATION OF PARTIES Claimant William L. Jennings, hereinafter referred to as "Claimant": H.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02949 Kent R. Sward, Claimant v, Rodney and Elizabeth Goldberg, Respondents. ATTORNEYS: For Claimant, Kent R. Sward, ("Claimant"), appeared Amy B. Jones, Esq., of the firm Garvey Schubert Barer, New York, NY. Respondents, Rodney and Elizabeth Goldberg, ("Respondents"), did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Associated Person v. Customers. DATE FILED

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02948 Ralph H. Steinbarth Name of the Respondents Hearing Site: Chicago, Illinois UBS Financial Services, Inc., and William C. Steber NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Mark R. Valley, Esq., Statland & Valley located in Chicago, Illinois represented Claimant Ralph H. Steinbart

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lance M. Hering v. 04-02946 Denver, Colorado Respondent Stifel, Nicholas & Company, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Lance M. Hering ("Claimant") was represented by Charles Brega, Esq., of Lindquist & Vennum, PLLP, Denver, Colorado. Stifel, Nicholas & Company, Inc. ("Respondent") was represented by John V. McDe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: TimeCapital Securities Corporation, (Claimant) vs. First Albany Corporation, (Respondent) Case Number: 01-00050 Hearing Site: New York, New York REPRESENTATION OF PARTIES TimeCapital Securities Corporation, hereinafter referred to as "Claimant": Milton R. Gleit, Esq., McCarthy, Fingar, Donovan, Drazen & Smith, LLP, White Plains, NY. Respondent, First Albany Corporation, herein

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael L. Merry, Claimant v. Morgan Stanley DW Inc., Paul C. Loo, and Edward L, McGowan, Respondents Case Number: 04-02931 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Michael L. Merry In Pro Se Waialua, Hawaii For Respondents: Christine A. Kendrick, Esq. Morgan Stanley DW Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (Fk/a Salomon Smith Barney Inc.), Claimant v. Charles H. Williams, Respondent Case Number: 04-02928 Situs: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian D. Todd, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington Respondent did not enter an appearance in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paige Arcuri, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 04-02917 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Charles Hunter, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: Joe Hood, Esq. Scott, Hulse, Marshall, Feuille, Finger & Thurmond, P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02916 Michael S. Kuruzovich Name of the Respondent Hearing Site: Tampa, Florida Sabet Family Trust Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Michael S, Kuruzovich, hereinafter referred to as "Claimant": Charles E. Scarlett, Esq., Law Offices of Scarlett & Associates, P.A., Boca Raton,