Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher Parry, Claimant v. Salomon Smith Barney, Inc. nka Citigroup Global Markets, Inc., Kevin G. Michalczewski (also known as Kevin G. Michals) and Michael J. Dechiario, Respondents Case Number: 03-01117 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Edward S. Zusma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tVfp P]flin^ptg Pf^p ^im^gf 00-04429 James A. and Rita Daugherty Goldie Alkire Edward E. Crabtree Glenn B. and Janet A. Crabtree Ronald Watson Robert L. Groves and Terri J, Groves Donald O. Sowers and Theima J. Sowers Hiring ^it?' Pittsburgh, PA Washington Square Securities, Inc. OF Claimants, James A. and Rita Daugherty, Goldie Alkire, Edward E. Crab

Award NASD Dispute Resolution In the Matter of the Arbitration Between; I Name of the Claimant Case Number: 03-0l 113 William R. Stapp Name of the Respondents Hearing Site: Chicago, Illinois SunArnerica Securities, Inc., Kenneth A. Logan, and Logan & Kilp, Inc. TYPE OF CONTROVERSY Customer v. Member Firm and Associated Person v. Non-Member Firm Claimant William R. Stapp ("Stapp") was represented by Diane A. Nygaard, Esq. of the Nygaard Law F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: 03-01 111 Stephen Black Hearing Site: Dallas, Texas A.G. Edwards & Sons, Inc. and James C. Keene N4TTTPF QFTHF DTSPTTTF. Public Customer v. Member Firm and Associated Person Rir.piiT.gir.THT AT Tr> N OF ?AP T TFS Claimant Stephen Black, hereinafter referred to as "Claimant": Charles M. Hamilton, Esq. of the Law Offices of French & Hamilton

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Joy Northam v. Case Number: 03-01110 Hearing Site: Troy, Michigan Respondent/Counter-Claimant ABN AMRO Financial Services and Third-Party Claimant ABN AMRO Financial Services v. Third-Party Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, inc. NATURE OF DISPUTE Customer v. Member, Member v. Customer,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Kathleen A. McLarn v. 03-01108 Minneapolis, Minnesota Respondents RBC Dain Rauscher, Inc. and Cinda J. Collins Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Kathleen A. McLarn ("Claimant") was represented by Paul M. Floyd, Esq., of Wallen Friedman & Floyd, P.A., Minneapolis, Minnesota. RBC Dain Rauscher, Inc. ("RBC"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant William E. Kossian v. 03-01106 Denver, Colorado Respondents Janney Montgomery Scott, LLC and Jeffrey J. Britt Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES William E. Kossian ("Claimant") was represented by Martin M. Berliner, Esq., of Berliner McDonald, Greenwood Village, Colorado. Janney Montgomery Scott, LLC ("JM

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne H. Van Buren, The Van Buren Irrevocable Life Insurance Trust dated 10/17/97, Nathan Dane III, Successor Trustee, The Anne Hagopian Van Buren Irrevocable Life Insurance Trust dated 1/19/99, Philip R. Van Buren and Thomas P. Van Buren, Successor Trustees, and The Anne H. Van Buren Irrevocable Trust dated 2/9/99 (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Castro (Claimant) v. HSBC Brokerage (USA), Inc., Thomas Joseph Furey, III, and Ann Idette Camayd (Respondents) Case Number: 03-01096 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Steven Castro ("Castro") hereinafter referred to as "Claimant": Franciscus A. Ladejola-Diaba, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Luther G. Gilford and Names of Respondents Comerica Securities and Michael Mass Case Number: 03-01095 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Luther G. Gilford ("Claimant") appeared in pro per. Vera E. Gilford, Esq. appeared on behalf of Claimant for the hearin