Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald D. Smith, Claimant v. Salomon Smith Barney, Inc. nka Citigroup Global Markets, Inc., and Philip J. Cunningham, Respondents Case Number: 03-01399 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Mitchell S. Ostwald, Esq. The Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01398 Joshua D. Wilson Names of the Respondents Hearing Site: Orlando, FL Morgan Keegan & Company, Inc. Christopher A. Booze Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joshua D. Wilson, hereinafter referred to as "Claimant": Kenneth P. Hazouri, Esq., de Beaubien, Knight, Simmons, Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward I. Gersh, individually and as Trustee of the Edward I. Gersh Rev. Trust, and Hollise B. Gersh (Claimants) vs. Anthony B. Javarone, Greg Torretta, and Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. (Respondents) Case Number: 03-01396 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter and Patricia Leonetti Revocable Living Trust, Patricia M, Leonetti, IRA Peter A. Leonetti (variable annuity) and Peter and Patricia Leonetti Revocable Living Trust, IRA Names of the Respondents InterSecurities, Inc. and Garyn I. Angel Case Number: 03-01394 Hearing Site: Tampa, Florida Nature of the Dispute: Customer

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James J. Daly i and Names of Respondents Morgan Stanley DW, Inc. and Michael T. Hopkins Case Number: 03-01392 Hearing Site: Detroit, Michigan Customer v. Member and Associated Person REPRESENTATION OF PARTIES James J. Daly ("Claimant") was represented by Patrick M. Hincks, Esq., and Desmond Patrick Curran, Esq., Law Offices of Sullivan Hin

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01389 Gary B. O'Quinn, Claimant vs. Wells Fargo Investments, LLC, and Bradley Thompson, Respondents. ATTORNEYS: Claimant, Gary B. O'Quinn, ("Claimant"), appeared pro se, Port Collins, CO. For Respondents, Wells Fargo Investments, LLC, and Bradley Thompson, (collectively "Respondents"), appeared Robert T. Sullwold, Esq., of the Law Offices of Sullwold & Hughes, San Francisco, CA. DATE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01388 Carmen I. O'Quinn, Claimant vs. Wells Fargo Investments, LLC and Rick Perkins, Respondents. ATTORNEYS: Claimant, Carmen I. O'Quinn appeared pro se, Fort Collins, CO. For Respondents, Wells Fargo Investments, LLC and Rick Perkins, appeared Robert T. Sullwold, Esq. of the firm Sullwold & Hughes, San Francisco, CA. DATE FILED: February 25, 2003 CASE SUMMARY: Claimant alleged that Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01387 Edward Stevens, Claimant vs. Quick & Reilly, Inc., Andrew Kiaer, and Michael Prendergast, Respondents. ATTORNEYS: Claimant, Edward Stevens, ("Claimant"), appeared pro se, Chicago IL. Respondents, Quick & Reilly, Inc., and Michael Prendergast, (collectively "Respondents") appeared through their in-house counsel, Matthew S. Diggins, Esq., New York, NY. Respondent, Andrew J. Kiaer, ("

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shirley A. Merchant IRA, Shirley A. Merchant c/f Jennifer DeMarco, Shirley A. Merchant c/f Alison Grandjean, Shirley A. Merchant c/f Robert DeMarco, and Shirley A. Merchant c/f Luke Grandjean (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Kipp Hicks, and Larry Rose (Respondents) Case Number: 03-01384 Hearing Site: Cleveland, Ohio Nature of the Dispute: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robin R. Madrigal and James M. Mosher., Claimants v. E*TRADE Securities, Inc., Respondent E*TRADE Securities, Inc., Counter-Claimant v. Robin R. Madrigal and James M. Mosher, Counter-Respondents Case Number: 00-04459 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants/Counter-Respondents Robin R. Madrigal and James M. Mosher: James M. Mosher In Prop