CASE: 04-01244 The Edith Brovender Trust, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, The Edith Brovender Trust, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), appeared Bradford D. Kaufman, Esq., o

•JL Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Colombino, Michael Cupak, and DMA Holding LLC (Claimants) v. CIBC World Markets Coporation d/b/a CISC Oppenheimer, Oppenheimer & Co. Inc. d/b/a CIBC Oppenheimer, Lynn De Rentis, Richard William Vincent and Robert Doyle (Respondents) Case Number: 04-01242 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members and Associated Persons REP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joshua Wheeiock (Claimant) v. UBS Securities, LLC, UBS Warburg, LLC, UBS AG, and Michael Rosenberg (Respondents) Case Number: 04-01240 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Joshua Wheeiock ("Wheeiock") hereinafter referred to as "Claimant": Robert D. Kraus, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glena C. Mathews and Glena C. Mathews, IRA, Claimants v. Citigroup Global Markets Inc. and Gary L. Habedank, Respondents Case Number: 04-01233 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni Youtz Meier & Spoonemore Seattle, Washington For Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hope Langer (Claimant) v. Salomon Smith Barney (Respondent) Case Number: 04-01223 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Hope Langer ("Langer") hereinafter referred to as "Claimant": Mark Elliot Gold, Esq., Tenafly, NJ. Previously represented by Flora A. Butchee, Esq., Citigroup Global Markets Inc.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01218 Henry Hannen Liu, Claimant v. Charles Schwab & Co., Respondent ATTORNEYS: Claimant Henry Hannen Liu ("Claimant") appeared pro se, Redwood City, CA. For Respondent Charles Schwab & Co. ("Respondent") appeared Richard A. Karoly, Esq., Charles Schwab & Co., San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: February 24, 2004. CASE SUMMARY: Claimant alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil Lauro (Claimant) v. Isabel Sepulveda De Scanlon(Respondent) Case Number: 04-01217 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES Claimant Neil Lauro ("Lauro") hereinafter referred to as "Claimant": Jack Ballard, Esq., The Ballard Law Firm, Houston, TX. Respondent Isabel Sepulveda De Scanlon ("De Scanlon") he

AWARD NASD Dispute Resolution. In the Matter of the Arbitration Between Name of Claimant Theresa Dean Smith and 00-05667 Dallas, Texas Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Jay D. Arbetter Merrill Lynch Life Insurance Company REPRESENTATION OF PARTIES Theresa Dean Smith ("Claimant") was represented by E. Steve Watson, Esq., Dallas, Texas. Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"), and Jay D.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01216 Carl R. Schoh IRA, Claimant v. Lynn Reynolds, Respondent. ATTORNEYS: Claimant, Carl R. Schoh IRA, ("Claimant"), appeared pro se, Rochester, MN. For Respondent, Lynn Reynolds, ("Respondent"), appeared Trae D. Meyr, Esq., of the firm Greensfeider, Hemker & Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: February 24, 2004 CASE SUMMARY: Claim

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William A. Hightower and Case Number: 04-01209 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc., Albert Hugh Townsend, John Gillette Burns, Richard W. Ashcroft, David Charles Sprowl, Robert Louis Rogers, and Richard Frank Grabish NATURE OF DISPUTE Associated Person v. Member Firm and Associated Persons REPRESENTA