Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01208 Guy Shapiro and Alice Shapiro, JTWROS Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Guy Shapiro and Alice Shapiro, JTWROS, hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01206 John S. Skowronski and Evelyn A. Skowronski, JTWROS Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John S. Skowronski and Evelyn A. Skowronski, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ' Case Number: 04-01204 Roy F. Cammarano Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Keegan & Company, Inc. Jeff! Edds Nature of the Dispute: Customer vs. Member and Associated Person. ' REPRESENTATION OF PARTIES For Roy F. Cammarano, hereinafter referred to as "Claimant": William G. Leonard, Esq., Leonard & Swenson, LLP, Atlant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01203 Roseanna Lee Carolyn Nettles as Trustee for the IGW Trust Name of the Respondent Hearing Site: Boca Raton, FL Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Roseanna Lee ("Lee") and Carolyn Nettles as Trustee for the IGW Trust ("IGW"), hereinafter collectively referred

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01201 Violet V. Garry-Chiulli, individually and on behalf of the Violet V. Garry IRA Rollover Account Names of the Respondents Hearing Site: Tampa, Florida UBS Financial Services, Inc. Arthur S. Day Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES For Violet V. Garry-Chiulli, indiv

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary E. Powell Irene L. Rind Estate of Marguerite Pickett Number 04-01199 Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Bradley L.Cottrill Edith Wernick Site- Baltimore, Maryland Nature of the Dispute: Customers vs. Member and Associated Persons. PFPRFSRISJTATTON OF Claimants, Mary E. Powell ("Powell"), Irene L. Rind ("Rind")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin M. Kyle and Crystal A. Kyle, Claimants v. Round Hill Securities, Inc. and William H. Wilkinson m, Respondents Case Number: 04-01197 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Robert Bertsch, Esq. Bertsch & Associates Port Washington, New York For Respondents: An

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01191 Ehrenkrantz King Nussbaum, Inc., Claimant vs. Henry Osorio, Respondent. ATTORNEYS: For Claimant, Ehrenkrantz King Nussbaum, Inc., ("Claimant"), appeared Michael S. Colombo of the firm Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent, Henry Osorio, ("Respondent") did not submit a response to the Statment of Claim. NATURE OF DISPUTE: Member vs. Associated Person. DATE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants) Peggy Cervantes and 00-05666 Dallas, Texas Name of Respondent(s) RBC Dain Rauscher Inc., Randall B. Edwards, Sr., Candise Edwards Cowley and David L. Zimmerman REPRESENTATION OF PARTIES Peggy Cervantes ("Claimant") was represented by Jeff Poster, Esq. of the Zisman Law Firm, Dallas, Texas. RBC Dain Rauscher Inc. ("Dain Rauscher"), Randal

iN/VSD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01190 Ehrenkrante King Nussbaum* Inc., Claimant v. Evan Esposito, Respondent ATTORNEYS: ~™ ~ . ~ "" For Claimant Ehrenkrantz King Nussbiiura, Inc. ("Claimant") appeared Michael 5. Colombo, of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. .Respondent Evan Esposito ("Respondent*') appear^ pro $e* StonybrooJk, NY. NATURE OF DISPUTE: Member v. Associated Person, DATH PILED: Febj^ar