NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02914 Leona M. Stanton, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Leona M. Stanton ("Claimant") appeared Frederick J. Sudekum, III, Esq., of the firm Sudekum, Cassidy & Shulruff, CHTD., Chicago, IL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joe and Diana Cashion and Case Number: 04-02907 Hearing Site: Houston, Texas Names of Respondents Wachovia Securities, LLC, James M. Glenn, Jr., and Virgil Oliver Rosser, IV NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Joe and Diana Cashion ("Claimants") were represented by Brian E. Bro, Esq., H

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darlene R. Sunde, Claimant v. Wells Fargo Investments, LLC and Ross A. Clark, Respondents Case Number: 04-02897 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas C. Bradley, Esq. Sinai, Schroeder, Mooney, Boetsch, Bradley & Pace Reno, Nevada For Respondents: Thomas F. Kopshever, Esq.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02893 Audrey Stein Goldings Name of the Respondents Hearing Site: Dallas, Texas Prudential Equity Group, LLC; and, Francisco Gonzalez- Soldevilla NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Audrey Stein Goldings ("Claimant") was represented by Thomas S. Reavely, Esq. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thfi flaimant CVf^imbfT' 04-02893 Audrey Stein Goldings Name of th p P ps p n n f lfnt^ M^aH^g Sit p ' Dallas, Texas Prudential Equity Group, LLC; and, Francisco Gonzalez- Soldevilla TTTF Public Customer v. Member Firm and Associated Person OF Audrey Stein Goldings ("Claimant") was represented by Thomas S. Reavely, Esq. and Nich

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Stanley DW, Inc., f/k/a/ Dean Witter Reynolds, Inc., Claimant v. Sheriff A. Demetri, Respondent. Case Number: 01-00044 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Catherine Dellecker, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald 601 South Figueroa Street 27 th Floor Los Angeles, CA 90017. For Respondent; Sheriff

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02891 Erik Stephen Zenger, Claimant vs. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Respondent. ATTORNEYS: For Claimant, Erik Stephen Zenger, ("Claimant") appeared Jan Graham, Esq., Salt Lake City, UT Respondent, Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. ('Respondent") appeared through its in house counsel, Ann Parry, Esq., New York, NY. NATURE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ian J. Allena (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., John S. O'Donnell and Mark Hyde (Respondents) Case Number: 04-02884 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ian J. Allena ("Allena") hereinafter referred to as "Claimant": Richard M. Mortner, Es

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02883 Samuel Obiomon, Claimant v. American Express Financial Advisors, Inc., Respondent ATTORNEYS: Claimant Samuel Obiomon ("Claimant") appeared pro se, Friendswood, TX. For Respondent American Express Financial Advisors, Inc. ("Respondent") appeared David Flower, Esq., in-house counsel, American Express Financial Advisors, Inc., Minneapolis, MN. NATURE OF DISPUTE: Associated Person vs. Memb

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02882 Christian C. Cornwell, Claimant v. Sean Robert Waltz, Respondent ATTORNEYS: Claimant Christian C. Cornwell ("Claimant") appeared pro se, Scottsdale, AZ. Respondent Sean Robert Waltz ("Respondent") did not make an appearance in this matter. NATURE OF DISPUTE: Customer vs. Associated Person. DATE FILED: April 20, 2004. CASE SUMMARY: Claimant alleged that Respondent placed him in inve