Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02059 Stuart A. Weston and Sandra A. Weston, individually and on behalf of The Stuart A. Weston Revocable Living Trust and The Sandra Ash Weston Revocable Living Trust Florida Risk Management, Inc. Names of the Respondents Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Investment Management & Research, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael L. Peterson, Claimant v. Goldman, Sachs & Co., Respondent Case Number: 04-02057 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Rodney J. Heggy, Esq. Federman & Sherwood Oklahoma City, Oklahoma For Respondent: Nicole Barrett Sullivan & Cromwell LLP New York , New York CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant , Page. Nimiher- 04-02051 Anthony C. Adonizio, Jr. Name nf the Respondent Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Anthony C. Adonizio, Jr., hereinafter referred to as "Claimant", was represented by Catherine Humphrey Bennett, Esq., Anapol, S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shelly Wain (Claimant) v. Citigroup Global Markets, Inc, as successor to Salomon Smith Barney, William T. Lent and Michael Lent v. Merrill Lynch Pierce Fenner & Smith, Inc., Peter Bacanovic and Jake Bartlett Case Number: 04-02050 Hearing Site: New York City, New York Nature of the Dispute: Customer v. Member and Associated Persons vs. Member and Associated Persons. REPRESENTATIO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick Strange IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Daniel E. Donatelli (Respondents) Case Number: 04-02046 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Patrick Strange IRA ("Strange") hereinafter referred to as "Claimant": James S. Jones, Esq., Poland, OH. Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02042 Marjorie Lechene, Claimant vs. Allegheny Investments, Ltd., and Gary Bieniasz, Respondents. ATTORNEYS: ! Claimant, Marjorie Lechene, ("Claimant") appeared pro se, Johnstown, PA. Respondent, Allegheny Investments, Ltd., ("Allegheny"), appeared through its in-house counsel, Robin M. Miller, Esq., Pittsburgh, PA. Respondent, Gary Bieniasz, ("Bieniasz") appeared pro se, Edgewater, MD.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp ripimant ' • r^p Nnm h n" 04-0203'5 Ramon F. Martinez Name of Jhe Respondents Hearing Site: Dallas, Texas Edward D. Jones & Co. L.P. d/b/a Edward Jones; • • Citigroup Global Markets, Inc.; Alfonso Castillo Escamilla; EDJ Holdings Co., Inc.; and, ' Kathy Ann Bowling . . NAT1TRF OF Public Customer v. , Member Firms, Non-Member Firm and Associated Persons

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds Inc., (Claimant) vs. William F. Matthews, Jr., (Respondent) Case Number: 00-05764 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, William F. Matthews, Jr., hereinafter referred to as "Respondent": Dona

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn R. Fisher and Doris J. Fisher, Claimants Case Number- 04-02034 v. Merrill Lynch, Pierce, Fenner& Smith, Inc. and Hearing Site: St. Louis, Missouri Eugene B. Carter, Respondents NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Glenn R. Fisher and Doris J. Fisher (the "Fishers"), hereinafter collectively

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Smith Hayes Financial Services Corp. and 04-02033 Omaha, Nebraska Respondent Stephen J. Lococo Counter-Claimant Stephen J. Lococo and Counter-Respondent Smith Hayes Financial Services Corp. NATURE OF THE DISPUTE Member Firm vs. Associated Person, Associated Person vs. Member Firm Smith Hayes Financial Services Corp. (" Claimant" or "Smith