Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vladimir Bakhourov and Irina Bakhourova (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Citigroup, Inc., Nelson "Nick" Schiff, and Jack Grubman (Respondents) Case Number: 03-02617 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimants Vladimir Bakhourov

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Katrine V. Warfield Trust, by William J. O'Hare, as Trustee, and Katrine V. Warfield, individually (Claimants) v. Golden Harris Capital Group, Inc., J.B. Hanauer & Co., and Gerard O'Hare (Respondents) Case Number: 03-02614 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members and Associated Person. REPRESENTATION OF PARTIES Claimants The Katrine V. War

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., (Claimant) vs. Prudential Securities Incorporated, Joseph Amato, Michael Braccia, Daniel Delrosso, John A. Zadwydas, and Gerard Marini, (Respondents) Case Number: 00-04507 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc., hereinafter referred to as "Claimant": Lawrence D. Bernfeld, Esq., Graubard Mollen

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles S. Kirwan (Claimant) vs. Prudential Securities, Inc., n/k/a Prudential Equity Group, LLC, Stephen Christopher Attar, and Paul Victor Kappel (Respondents) Case Number: 03-02612 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Charles S. Kirwan, Esq., ("Claimant") appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Erich McMann Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-02609 Hearing Site: Chicago, Illinois Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Erich McMann, ("McMann"), or, ("Claimant"),: Michael Stanton, Esq., of James, Hoyer, Newcomer & Smiljanich P.A., located in Tampa, Flor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02606 Paul R. Shields Holly D. Shields Names of the Respondents Hearing Site: Tampa, Florida Vincent Stafford Merrill Lynch, Pierce, Fenner & Smith Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paul R. Shields and Holly D. Shields ("Shields"), hereinafter collectively refe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Rita Banko, on behalf of Stanley A. Banko, Sr. and Rita M. Banko, Jt. Tenants Names of the Respondents Oftring & Co. Inc. Dale Para, an individual Case Number: 03-02604 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rita Banko, on behalf of Stanley A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02603 The Frazier Trust Names of the Respondents Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc. Jeffrey Tyler Shaver Fred Barton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Frazier Trust, hereinafter referred to as "Claimant": Don W. Johnson, Esq., The Johnson Law F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lotta Bystrom v. UBS Financial Services Inc., Mark W. Flower and James D. Klein, Respondents Case Number: 03-02599 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Richard Sacks Irwin Stein Novato, California For Respondents: Peter R. Boutin, Esq. Julie A. Kole, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James M. Solomonson and Janet H. Solomonson, on behalf of The James M. and Janet H. Solomonson Joint Account^ the James M. Solomonson IRA, and the Janet H. Solomonson IRA, and Janet H. Solomonson (individually and as attorney-in-fact for Alice D. Hesehon) and Joann Cress on behalf of the A. Heselton, J. Solomonson, and J. Cress Joint Account, Claimants v. A.G. Edwards & Sons, Inc. and M