Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 04-02679 Ronald Nackman Phyllis Nackman Ronald Nackman Trust Phyllis Nackman Trust Names of the Respondents Hearing Site: Boca Raton, FL Sentra Securities Corporation Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Neil Winterrowd Nature of the Dispute: Customer vs. Member and Associated Person. R

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 04-02674 Mark Phillip Goetz, (Claimant) vs. Pauline Maitoglou, (Respondent) ATTORNEYS: ~~ For Claimant appeared Scott Wassmuth, Esq., of the firm Finkelstein & Feil, LLP, Garden City, NY. Respondent appeared pro se, Sayerville, NJ. NATURE OF DISPUTE: Associated Person vs. Customer DATE FILED: April 8, 2004 CASE SUMMARY: Claimant requested expungement of all reference of a for

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 04-02672 Wayne Josephson, Claimant v. Outrageous Sports, Inc. Money Purchase Pension Plan, Inc., Roger Lynden, Gail Marie Rude, Jan Young, Susan E. Van Hook IRA, Enrique Cerna IRA, Lennard Haugen, Phyllis E. Heppenstall, Gary Aichlmayer, Pauline Wantz, Donald J. Langei, and Frederick and Georgina Mills, Respondents ATTORNEYS: ~ For Claimant Wayne Josephson ("Claimant") appeared Curt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Danielle, Jason and Matthew Buchwald Names of the Respondents Wachovia Securities LLC Prudential Equity Group, LLC Case Number: 04-02671 Hearing Site: Boca Raton, Honda Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Danielle, Jason and Matthew Buchwald, hereinafter collectively referred to as "Claimants": Rhett Traban

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn A. Fishman vs. Werner Haase Irrevocable Trust Case Number: 04-02670 Nature of Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Glenn A. Fishman ("Claimant") appeared through Matthew Tracy, Esq., of the firm Winget, Spadafora & Schwartzberg, LLP, New York, NY. Respondent, Werner Haase Irrevocable Trust ("Respondent") appeared through Am

CASE: 04-02669 Edward Goetz, Claimant v. Edward Morawiec, Maria Morawiec, Joanna Moraweic, and Donna Morawiec Respondents. ATTORNEYS: For Claimant, Edward Goetz, ("Claimant"), appeared Timothy Feil, Esq., of the firm Finkelstein & Feil LLP, Garden City, New York. For Respondents, Edward Morawiec, Maria Moraweic, Joanna Moraweic and Donna Moraewic (collectively "Respondents") appeared Michael P.Gilmore, Esp., of the firm Sims, Moss, Kleine & Davis, LLP.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: •Kfarnft nf the TlaimaTit Page Number: 01-00016 First Union Securities, Inc., Name nf the Respondent Hearing Rite: Houston, Texas Thomas York, PFPKFSKW Tn Claimant First Union Securities, Inc, hereinafter referred to as "Claimant," was represented by Diane C. Fisher, Esq. and Thomas M. Volz, Esq. of Kane & Fisher located in Chicago, Illinois. Respondent Thomas York, here

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ida Epstein vs. Stephen Goodwin Case Number: 04-02666 REPRESENTATION OF PARTIES Claimant, Ida Epstein ("Claimant") appeared through Matthew Tracy, Esq., of the firm Winget, Spadafora & Schwartzberg, LLP, New York, NY. Respondent, Stephen Goodwin ("Respondent") appeared pro se, Jupiter, FL CASE INFORMATION Statement of Claim filed on or about: April 12, 2004. N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason Zahtila (Claimant) v. Commerce One Financial, Inc., f/k/a Murjen Financial Inc., and Thomas J. Jennings Case Number: 04-02664 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jason Zahtila hereinafter referred to as "Claimant": Phillip Raible, Esq., Mintz and Gold, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 04-02659 John F. Kennedy and Mary E. Kennedy, JTWROS John F. Kennedy, IRA Name nf the Respondent Hearing Site: Charlotte, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member. RFPRFSFNTATTON OF PARTTFS Claimants, John F. Kennedy and Mary E. Kennedy, JTWROS and John F. Kennedy, IRA, hereinafter colle