AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Cindy L. Stevenson and Dorothy G. Eaton, Conservators of the Estate of Courtney Lynn Eaton; Cindy L. Stevenson and Dorothy G. Eaton, Conservators of the Estate of Curtis Matthew Eaton; Ben Eaton and Dorothy G. Eaton as Joint Tenants and Gary T. Eaton and Dorothy G. Eaton as Joint Tenants and Names of Respondents Robert W. Baird and Co. Incorporated,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Marchetti, Claimant v. InvestPrivate, Inc., Richard Bertel and Scott L. Mathis, Respondents Case Number: 04-01385 Hearing Site: New York, N.Y. Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Joseph Marchetti ("Marchetti") hereinafter referred to as "Claimant": Loel Seitel, Esq., Law Office of Marc F. Desider

Stipulated Award NASD Dispute Resolution MERLE R. POUNDS, M.D., § § Claimant, § § vs. § NASD#04-01380 § DALLAS, TEXAS MERRILL LYNCH, PIERCE, FENNER § & SMITH INCORPORATED and DALE § REED, § § Respondents. § Customer v. Member Firm and Associated Person O? ATTF.S Claimant Merle R. Pounds, hereinafter referred to as "Claimant," was represented by Larry Lesh, 5949 Sherry Lane, Suite 501, Dallas, Texas 75225. Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:04-01376 Marion D. Ross, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Marion D. Ross ("Claimant") appeared Rohit C. Sharma, Esq., of the David Garrett Law Office, P.C., Muskogee, OK. For Respondents Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively "Responde

In the Matter of the Arbitration Between Name of Claimant John C. Joyner, as Guardian of the Property of Fredna M. Cottingham Case No. 00-05682 Names of Respondents Raymond James Financial Services, Inc. Michael D. Antonio Luke Haymond Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For John C. Joyner, as Guardian of the Property of Fredna M. Cottingham ("Joyner"), hereinafter referred to as "Claimant": Daniel I. Maclntyre, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01374 Rollin B. Hardisty IRA, Claimant v. Janney Montgomery Scott, Bernard Cohen and Jonathan Cohen, Respondents. ATTORNEYS: Claimant, Rollin B. Hardisty IRA, ("Claimant") appeared pro se, Jupiter, FL. For Respondent, Janney Montgomery Scott, Bernard Cohen and Jonathan Cohen, (Collectively "Respondents") appeared through their in-house counsel, Carrie L. Chelko, Esq., Philadelphia, PA.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor DeLuca and Janice DeLuca (Claimants) v. Salomon Smith Barney and David DePaul (Respondents). Case Number: 04-01369 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Victor DeLuca ("V. DeLuca") and Janice DeLuca ("J. DeLuca") hereinafter collectively referred to as "Claimants": J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seymour S. Greenfield (Claimant) v. Deutsche ?Bank Securities, Inc. and Joseph Nachman (Respondents) : Case Number: 04-01368 , Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Seymour S. Greenfield ("Greenfield") hereinafter referred to as "Claimant": George L. Mahr, III, Esq., Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mychal Lahey, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 04-01363 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Mychal Lahey Chico, California For Respondent: Eric J. Classman, Esq. Mennemeier, Glassman & Stroud Sacramento, California CASE INFORMATION

CASE: 04-01355 Kam I. Metcalf, Claimant \. Merrill Lynch Pierce Fenner & Smith, Inc. and Phil McPhail, Respondents ATTORNEYS: Claimant, Kam I. Metcalf, ("Claimant"), appeared Pro Se, New York, NY. Respondents, Merrill Lynch Pierce Fenner & Smith and Phil McPhail, ("Respondents"), appeared through their in-house counsel, Craig Vollono, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person. DATE FILED: February 27, 2004. CASE