Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kimberlyn Underwood, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Riley O. Etheridge, Jr., Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated, Counter-Claimant v. Kimberlyn Underwood, Counter-Respondent Case Number: 04-02774 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person Member v.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Numher- 04-02769 Alain Silvera Name of the Respondent Hearing Site: Philadelphia, Pennsylvania Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Alain Silvera, hereinafter referred to as "Claimant", was represented by Adam M. Green, Esq., and Aismara J. Abreu, Esq., Anapol, Schwartz, P.C.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mohan Goel and Ibrahim Khan, Claimants v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and John D. Bacich, Respondents Case Number: 04-02763 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Douglas A, Ames, Esq. Law Offices of Douglas A. Ames Huntingto

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mary Niforos Names of the Respondents Morgan Stanley Dean Witter & Co. Thomas George Parker Case Number: 04-02758 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Niforos, hereinafter referred to as "Claimant": Jan Douglas Atlas, Esq., Adorno & Yo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants < Thomas M. Rice, IRA, Edith Pauline and Thomas M. Rice JTTEN Janet Sue Argent & Thomas Rice JTTEN Name of the Respondent Goelzer Investment Management Case Number: 04-02756 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas M. Rice, IRA (T. Rice), Edith Pauline (E. Rice) and Thom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Russ, Jr., and Thomas Russ Jr., IRA Rollover DTD 6/17/00 (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Undra Johnson (Respondents) Case Number: 04-02754 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Thomas Russ, Jr. ("Russ"), and Thomas Russ Jr., IRA Rollo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00021 Larry W. Barkely, Claimant vs. David R. Nichols, Cheryl A. Walkenhorst, Cindy Y. Thomas & Zions Investment Securities, Inc., Respondents. ATTORNEYS: Claimant appeared Pro Se., Ignacio, CO. Respondents appeared through David R. Nichols, Senior Vice President of compliance, Zion Investment Securities, Inc., Salt Lake City, Utah. DATE FILED: January 3, 2001 CASE SUMMARY: Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold T. Randolph (Claimant) v. Ameriprop, Inc. and Anthony Otto DeGregorio, Sr. (Respondents) Case Number: 04-02725 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Terminated Member and Associated Person. REPRESENTATION OF PARTIES Claimant Harold T. Randolph ("Randolph") hereinafter referred to as "Claimant": Barry R. Lax, Esq., The Lax Law Firm, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria Belknap, Claimant v. Morgan Stanley DW Inc. a/k/a Morgan Stanley Dean Witter, Eloise J. Rich, Susan Lee Dehen, and Lisa Ann Detanna, Respondents Case Number: 04-02724 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents Morgan Stanley DW Inc. a/k/a Morgan Stanl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ... American Express Financial Advisors, Inc. (Claimant) vs. Frank P. Marzano (Respondent) Case Number: 04-02723 Hearing Site: New York City, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant American Express Financial Advisors, Inc., hereinafter referred to as "Claimant": Michael. A. Zaretsky, Esq., Chorpenning, Good & Pandora Co., LPA,