Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Carolyn and Alfred Adamo, as guardians for their incompetent daughter, Alissa Adamo v. Respondents Randall S. Appel, Appel Financial Planning Ltd., Strategic Assets, Inc. and Ameriprop, Inc. Case Number: 00-05600 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimant Carolyn and Alfred Adamo, as guardians for their incompetent daughter, Al

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Richard D. Hampton, Kathryn A. Wadley, and Shannon Hampton and Case Number: 04-00671 Hearing Site: Oklahoma City, Oklahoma Names of Respondents ING Financial Partners, Inc., f/k/a Washington Square Securities, Inc., Robert B. Benjamin, and J. David Weston NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Elizabeth Dickinson and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Terence Anthony Palleschi Case Number: 04-00669 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Elizabeth Dickinson ("Claimant") was represented by Victor Morris, Esq., and Bradford T. Yake

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Roy Brumbill and Case Number: 04-00666 Hearing Site: Troy, Michigan Respondents American Express Financial Advisors, Eric G. Jacobs and James C. Weinrich NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Roy Brumbill ("Claimant") was represented by Anthony R. Paesano, Esq., and John A. Hubbard, Esq., Beals Hubbard P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert R. Spencer and Margaret B. Spencer, Claimants v. Piper Jaflray & Co., Michael G. Santoro, and James T. Chandler, Respondents Case Number: 04-00664 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Jack M. Merritts, Esq. Burns, Wall, Smith and Mueller, P.C. Denver, Colorado

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rene Garcia, Claimant vs. Morgan Stanley DW Inc. and Joseph Feinberg, Respondents Case Number: 04-00661 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter, P.C. Encino, California For Respondents: Ronald E. Wood, Esq. The

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00656 =——=_=— Lewis F. Jarrett, II, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: Claimant, Lewis F. Jarrett, II, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, III, Esq

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00655 Daniel Bruce Blum and Helen Yolande Blum TTEE FBO Blum Family Trust, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Michael J. Healey, and Christopher Lazzard, Respondents. ATTORNEYS: Claimant, Daniel Bruce Blum and Helen Yolande Blum TTEE FBO Blum Family Trust, ("Claimant"), appeared pro se, Granada Hills, CA. Respondents, Citigroup Global Markets, In

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00654 Robert C. Kime and Barbara S. Kime, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: Claimants, Robert C. Kime and Barbara S. Kime, ("Claimants"), appeared Pro Se, Van Nuys, CA. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared through their in-house counsel, Ann Parry, Esq., New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Kober, Charles Cardona, and John Cardona (Claimants) vs. James Robert Kelly, Bryan Scott Zimmerman and Sunstate Equity Trading (Respondents) Case Number: 04-00652 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Thomas Kober ("Kober"), Charles Cardona ("C. Cardona") and John Cardona ("J.