Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Robert Pearson and James Robert Pearson IRA r Claimants vs. Fidelity Brokerage Services LLC and Scott Nicolas Horton, Respondents Case Number: 04-02217 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer Law Offices of James Jay Seltzer Em

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian D.Currier vs. Linda M. Nikkila and Rick A. Nikkila Case Number: 04-02213 Nature of Dispute: Associated Person vs. Customers REPRESENTATION OF PARTIES Claimants, Brian D. Currier ("Claimant") appeared through Harold G. Ognelodh, Esq., in-house counsel of Merrill Lynch, Pierce, Fenner & smith, Inc. New York, NY Respondents, Linda M. Nikkila and Rick A. Nikkila ("R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02212 Jacqueline Doennenfeld-Aumann, Claimant v. Citicorp Investment Services, Inc. and Essex National Securites, Inc., Respondents ATTORNEYS: For Claimant Jacqueline Doennenfeld-Aumann ("Claimant") appeared Theodore M. Davis, Esq., Brooklyn, NY. For Respondent Citicorp Investment Services, Inc. ("Citicorp") appeared Jennifer Sender, Esq., in-house counsel, Citicorp Investment Services,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Zomack, Mary Zomack, the Robert Zomack IRA, and the Mary Zomack IRA, (Claimants) vs. Shulka Financial Services, Inc., First Security Investments, Inc., and Patrick McDevitt, (Respondents) Case Number: 00-05773 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Zomack ("R. Zomack"), Mary Zomack ("M. Zomack"), the Robert Zomack IRA ("R. Zomack IRA"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02211 Ida Weber, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Michael J. Weinstein, Respondents ATTORNEYS: For Claimant Ida Weber ("Claimant") appeared Eric S. Hutner, Esq. of the Law Offices of Eric S. Hutner & Associates, New York, NY. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Michael J. Weinstein (collectivel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02210 Douglas Below, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: " " For Claimant, Douglas Below, ("Claimant"), appeared Win. Jemison Mims, Jr. Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent"), appeared Charles A. Gail, Esq., of the firm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants May N. Binder, individually, and as Trustee for the May N. Binder Trust Names of the Respondents K.W. Brown & Company d/b/a K.W. Brown Investments 21 st Century Advisors, Inc. Ken Brown Case Number: 04-02209 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Walter Lynwood Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-02207 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Walter Lynwood, hereinafter referred to as "Claimant": William Jemison Mims, Jr., Esq., Levin, Papantonio, Thomas, Mitchell, Echsner & P

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ted Simpson and 04-02194 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Martin C. Hoffman, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ted Simpson ("Claimant") was represented by Chad P. Hemmat, Anderson, Hemmat & Levine, LLC, Denver

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02192 Jesus R. Montero and Lucy Montero Name of the Respondent Hearing Site: Tampa, Florida T.D. Waterhouse Investor Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jesus R. Montero and Lucy Montero. hereinafter collectively referred to as "Claimants": James D. Keeney, Esq., James D. Keeney,