Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Wayne & Roberta Musser Foundation and The Musser Family Trust., Claimants v. Salomon Smith Barney, Inc. (n/k/a Citigroup Global Markets, Inc.) and William M. Vick, Respondents Case Number: 03-02592 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Brett A. Alcala, Esq. Alcala Law

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Meir Smith v. 03-02590 Minneapolis, Minnesota Respondent Workman Securities Corporation Nature of Dispute: Associated Person v. Member ' REPRESENTATION OF PARTIES Meir Smith ("Claimant") was represented by Richard Cabrera, Esq., Minneapolis, Minnesota. Workman Securities Corporation ("Respondent") was represented by Benjamin R. Skjold, Esq., of Hellmuth &

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Poske Automotive Inc., Employee Profit Sharing Trust by David Hutchinson, its Trustee and Respondents Comerica Securities, Inc., and Peter J. Neary Case Number: 03-02589 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Poske Automotive Inc., Employee Profit Sharing Trust b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04504 Michael Bleyzer, Name of the Respondents Hearing Site: Houston, Texas Southwest Securities, Inc., MB Trading s Inc., Terra Nova Trading, REPRESENTATION OF PARTIES Claimant Michael Bleyzer, hereinafter referred to as "Claimant," was represented Randall C. Owens, Esq. of Golden & Owens located in Houston, Texas. Respon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between UBS PaineWebber, Inc. Case No. 00-00454 Niirne of Respondents The (Wilson) Williams Financial Group: and Donald F. Garms. Jr. RFPRFSF.JVTATinN OF PARTTKS Claimant UBS PaineWebber. Inc. ("PaineWebber") was represented by Michael D. Lee, Esq., of the firm of Schuyler, Roche & Zwirner, located in Chicago, Illinois. Respondent Donald F. Garms. Jr. ("Garms") represented

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia L. Pulcer and Case Number: 03-02588 Hearing Site: Troy, Michigan Names of Respondents Fidelity Brokerage Services, LLC Fidelity Investments Life Insurance Co., Fidelity Insurance Agency, Inc., Fidelity Brokerage Services, Inc., and Gary M. Pryka NATURE OF DISPUTE Customer v. Member, Non-Members, and Associated Person REPRESENTATIO

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Plaimants Case Number 03-02572 Patricia Mack Paul Mack Name nf thp T?pgponHfint Hearing Site- Charlotte, NC OLDE Discount Brokerage Firm n/k/a H&R Block Financial Advisors, Inc. Nature of the Dispute: Customers v. Member. RF.PRFSFNTATION OF PARTIES Claimants, Patricia Mack and Paul Mack, hereinafter collectively referred to as "Claimants", wer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02570 Martha H. Farthing, Claimant vs. Quick & Reiily, Inc., Respondent. ATTORNEYS: For Claimant appeared Mathew E. Bates, P.A., Grdeensboro, NC. For Respondent appeared in-house counsel, Casandra P. Cushman, Esq., New York, NY. DATE FILED: April 8, 2003 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty to her, failed to furnish her with a prospectus, permitted a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ellen J. Woliner-Rhoda and Todd Rhoda JT TEN; Ellen Woliner, Inc., Profit Sharing Plan DTD 8/4/89; Ellen Woliner, Inc., Money Purchase Pension Plan; Ellen Woliner- Rhoda IRA; Ellen Woliner-Rhoda c/f Quinn B. Rhoda; and Ellen Woliner-Rhoda c/f Emily Hope Rhoda (Claimants) v. Clearing Services of America, Inc. and Todd Eberhard (Respondents) Case Number: 03-02566 Hearing Site: New Yor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank A. Turek, Jr. (Claimant) v. Joan A. Brown d/b/a R & J Brown Planning (Respondent) Case Number: 03-02564 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Associated Person. REPRESENTATION OF PARTIES Claimant Frank A. Turek, Jr. ("Turek") hereinafter referred to as "Claimant": Richard B. Thaler, Esq., Thaler & Thaler, Ithaca, NY. Respondent Joan A. Brow