AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants The Richard Dale Relyea Limited Partnership, Dennis R. Latimer, and Christie A. Latimer. Case Number: 04-01092 Names of Respondents Hearing Site: Houston, Texas Donaldson Lufkin & Jenrette Securities Corp. and Richard H. Thompson NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Richard Dale R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Milton Straus, (Claimant) vs. Josephthal & Co., Inc. and Adam DeMario, (Respondents) Case Number: 00-05654 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Milton Straus, hereinafter referred to as "Claimant": Robert A. Recio, Esq., Gallo Geffner Fenster, P.C., Paramus, NJ. Respondent, Josephthal & Co., Inc. ("Josephthal"): John Bersin, Esq., Associate Gene

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Patricia Dickey and Gordon Dickey and Case Number: 04-01090 Hearing Site: Troy, Michigan Respondents H&R Block Financial Advisors, Inc. and Richard D. Gurchak NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Patricia Dickey and Gordon Dickey ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula

STIPULATED AWARD NASD Dispute Resolution in the Matter of the Arbitration Between: Claimant Lawrence M. Stankiewicz and Respondents Case Number: 04-01088 J.J.B. Milliard, W.L Lyons and Hearing Site: Troy, Michigan William Joseph Konchal NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Lawrence M. Stankiewicz ("Claimant") was represented by Anthony V. Trogan, Esquire and Lysa Postula-Stein, Esquire, We

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Lasagna-Schnapp, individually and as TTEE Schnapp Survivors Trust, dtd 8/5/88, and TTEE fbo The Schnapp Trust U/A/D 8/5/88, Claimants v. Smith Barney Citigroup, a division of Citigroup Global Markets, Inc., and Patrick Spooner, Respondents Case Number: 04-01084 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person RE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Liberman and Mitchell Liberman as Co-Trustees of the Marvin R. Liberman Revocable Trust Agreement, dated June 10, 1985, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Marc A. Liberman, Respondents Case Number: 04-01079 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Martin D. Parlato and Linda K. Parlato, Tenants by Entirety Names of the Respondents H&R Block Financial Advisors, Inc. Greg Plancher Case Number: 04-01077 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Martin D. Parlato and Linda K. Parlato, Tenants by Ent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01073 Robert Schulman, Claimant v. Daniel J. Miller, Respondent ATTORNEYS: For Claimant, Robert Schulman, ("Claimant"), appeared Alexander R. McMullen, Esq. of the firm McMullen & Drury, P.A., Towson, MD. For Respondent, Daniel J. Miller, ("Respondent"), appeared Terrence C. Liff, Esq. of the firm Marvin Mandel, P.C., Annapolis, MD. NATURE OF DISPUTE: Customer vs. Associated Person.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-1068 Karen L. Lane COM IRA GUST, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Karen L. Lane CGM IRA CUST, ("Claimant"), appeared Joel S. Finkelstein, Esq. of Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01067 James T. Myung, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, James T. Myung, ("Claimant"), appeared Marshall P. Richer, Esq. of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, (collectively "Respo