NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01064 Robert Faber, Claimant v, Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: " ~~ Claimant, Robert Faber, ("Claimant"), appeared pro se, New York, NY. Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared through its in-house counsel, Scott G. Grubin, Esq., New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: February 18;

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Francine J. Giulekas, Gus Giulekas, and Gus and Francine J. Giulekas (Claimants) v. Merrill Lynch Pierce Fenner and Smith, James D. Tomlin, James Williams of the Williams/Tomlin GRP, Salomon Smith Barney tic. n/k/a Citigroup Global Markets, Inc., Robert A. Perconte, Elizabeth Polizzi, William Robert Agresti, and John/Jane Does 1-10 Case Number: 04-01063 Hearing Site: New York City, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John F. and Patricia R. Robertson, Claimants, Vs. Case Number: 00-05647 Glen E. Williams, Respondent. Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants John F. and Patricia R. Robertson ("the Robertsons"), hereinafter referred to as "Claimants", were represented by Tim Robertson. Respondent Glen E. Williams ("Williams") was represented by E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fordham Financial Management, Inc. (Claimant) v. Osama Man (Respondent) Case Number: 04-01059 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Fordham Financial Management, Inc. ("Fordham") hereinafter referred to as "Claimant": David A. Schroder, Esq., Schrader & Schoenberg, LLP, New York, NY. Respondent Osa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: 04-01055 Kim Eckis Andre "f th? P?- g p n| i f 1? i nt g Hearing Sitfi' Dallas, Texas Bane of America Investment Services, Inc. and Michael Dennis Degolier mr Customer v. Member Firm and Associated Person OF Claimant Kim Eckis Andre, hereinafter referred to as "Claimant": Richard H. Elliot, Esq., of the Law Offices of Richard H

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Joe L. Gates, Individually and as Trustee on behalf of the Joe L. Gates Trust and S. Pauline Gates, Individually and as Trustee on behalf of the S. P. Gates Trust v. 04-01051 Oklahoma City, Oklahoma Respondents Centaurus Financial, Inc., and Robert D. Jamison NATURE OF THE DTSPTJTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James McCann (Claimant) v. HSBC Brokerage (USA) Inc, (Respondent) Case Number: 04-01035 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, James McCann ("McCann") hereinafter referred to as "Claimant": Daniel W. DeLuca, Esq., Law Offices of Daniel W. DeLuca, Ronkonkoma, NY. Respondent, HSBC Brokerage (USA) Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01034 Edwin Rand Names of the Respondents Hearing Site: Boca Raton, FL Citigroup Global Markets, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edwin Rand ("Rand"), hereinafter referred to as "Claimant": Michael B. Lynch, Hooper & Weiss, LLC, Orlando, Florida and Mar

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Charles Bigbie Name of the Respondent American Express Financial Advisors, Inc. Case Number: 04-01033 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charles Bigbie, hereinafter referred to as "Claimant": Bradley R. Stark, Esq., Bradley R. Stark, P.A., Coral Gables, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Florence Cittadini (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Lynch Ford (Respondents) Case Number: 04-01021 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Florence Cittadini ("Cittadini") hereinafter referred to as "Claimant" appeared pro se. Respondents Merrill L