Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant , Case Number: 04-01443 Louise S. Tyler n/k/a Louise S. Guarino Names of the Respondents Hearing Site: Orlando, Florida Prudential Securities Incorporated a/k/a Prudential Equity Group, Inc. Andrew Wunsch Steven G. Nash David H. Mellon Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Louise S. Ty

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01440 Monis Weiss, Claimant v. Oliver Wolcott, OI 7 Respondent ATTORNEYS: Claimant, Moms Weiss, {"Claimant"), appeared Pro Se Harwich, MA. For Respondent, Oliver Wolcott, III, ("Respondent"), appeared Harrison Kaufman, Esq., of Morgan Stanley, New York, NY. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED; March 3,2004. ~~ ~ ~ ~ ~ ~ ~ CASE

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bernadine A. Williams and Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., and Jason A. Horowitz Case Number: 04-01439 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Bernadine A. Williams ("Claimant") was represented by Robert L. Hindelang, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Kelly Hugh Rule; and Rule Construction Inc. Case No. 00-05690 Robby D. Schumacher, and Adam Mosslih Hearing Site: Nashville, Tennessee OF PAttTTFg Claimants Kelly Hugh Rule and Rule Construction Inc. were represented by Melanie E. Davis, Esq. of the firm of Kizer and Black, located in Maryville, Tennessee. Respondent Adam Mosslih was represented by Richard J. Ba

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01438 Joyce Jonas and Lillian D'Elia, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., David Bateman, and Kim Heiman, Respondents ATTORNEYS: Claimants Joyce Jonas and Lillian D'Elia ("Claimants") appeared pro se y Port St. Lucie, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., David Bateman, and Kim Heiman ("Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benjamin G. Aibel (Claimant) v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc. (Respondent) Case Number: 04-01436 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Benjamin G. Aibel hereinafter referred to as "Claimant": Kenneth E. Warner, Esq., Warner Partners, P.C., formerly Coblence & War

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, Inc., f/k/a Prudential Securities, Inc. and William P. Garten vs. Dave Stepanek Case Number: 04-01433 Nature of Dispute: Member and Associated Person vs. Customer REPRESENTATION OF PARTIES Claimants, Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. and William P. Garten ("Claimants") appeared through Dennis J. Concilia, Esq. and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann Flynn (Claimant) v. Raymond James Financial Services, Inc. and Gregory Porter and Gregory Jude Porter (Respondents) Case Number: 04-01431 Hearing Site: Buffalo, NY Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Ann Flynn hereinafter referred to as "Claimant": Andrea R. Polvino, Esq., McGrath & Polvino, PLLC, Wil

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Elizabeth Ann Strickland Names of the Respondents Salomon Smith Barney, Inc. Carol Ann Hanlon Case Number: 04-01423 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elizabeth Ann Strickland, hereinafter referred to as "Claimant": Pat H. Huddleston, II, Esq.,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Joe O. Hawkins and Margaret L. Hawkins and 04-01418 Phoenix, Arizona Name of Respondents Tucker Anthony Incorporated n/k/a RBC Dain Rauscher, Inc. Keith Daniel Schollard Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Joe O. Hawkins and Margaret L. Hawkins ("Claimants") were represented by Rober