AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bobbie Marie Mezei and 03-01094 Nashville, Tennessee Name of Respondent Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Bobbie Marie Mezei ("Claimant") was represented by H. Naill Falls, Jr., Esq. Falls & Veach, Nashville, Tennessee. Salomon Smith Barney, Inc. n/k

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert L. Huwiler and Ruth Huwiler and 03-01092 Milwaukee, Wisconsin Name of Respondents Prentice Securities, Incorporated Louis M. Kornman Melvyn E. Panzer Spencer D. Thomas Michael Edward Tierney Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Robert L. Huwiler and Ruth Huwiler ("Claimants")

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Maximum Financial Group, Inc. and 00-04428 Southfield, Michigan Vito Van REPRESENTATION OF PARTIES Maximum Financial Group, Inc. ("Claimant") was represented by Edward J. Bardelli, Esq., Warner, Norcross & Judd LLP, Grand Rapids, Michigan. Vito Van ("Respondent"): Pro Se. Respondent was represented by Dennis J, Levasseur, Esq., Bodman, Longley & Dahling, LLP, Detroi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name f>f the Claimants rflgeNnmhei- 03-01088 Vicki Jo Keating Christopher Stinson Name of the Respondents Hearing Site- Baltimore, Maryland Citigroup Global Markets, Inc fk/a Salomon Smith Barney, Inc. Catherine Lynne Smith Wachovia Securities, Inc. Nature of the Dispute: Customer vs. Members and Associated Person. RKPRFSFATTATTON OF PARTIES Claimants, Vicki Jo Keati

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01085 Charles A. Brasby and Lorraine A. Brasby Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jerrold Dickman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles A. Brasby and Lorraine A. Brasby, hereinafter collecti

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 03-01084 Lunette Combee-Cliff Names of Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. and Jeffrey Clements REPRESENTATION OF PARTIES For Lunette Combee-Cliff, hereinafter referred to as Claimant: Emily Peacock, Esq., James, Hoyer, Newcomer & Smiljanich, P.A., Tampa, Florida. For Merrill Lyn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mollie McCormick, individually and as Holder of the Mollie Ami McCormick IRA, Claimant v. The Lincoln National Life Insurance Company, Lincoln Financial Advisors Corporation, and Ann Poloko, Respondents Case Number: 03-01078 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Matthew R. Ruth

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lois Myers and Stanley Myers, Individually and as Co-Trustees of the Myers Living Trust, Claimants v. World Group Securities, Inc., WMA Securities, Inc., Fredrick R. Cornilles, LLndy B. Clark, Faye M. Schwartz, and Bruce A. Bailey, Respondents Case Number: 03-01076 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC file/a Wachovia Securities, Inc., Claimant v. Dennis Liu, Respondent Dennis Liu, Counter-Claimant v. Wachovia Securities, LLC file/a Wachovia Securities, Inc., Counter-Respondent Case Number: 03-01075 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sue Anne Young, as Trustee for the Sue Ann Young Revocable Trust dtd 4/29/96, Claimant v. Phillips & Company Securities, Inc., Lawrence W. Brooks, and Philip Bryan Hagea, Respondents Case Number: 03-01074 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Thomas E. Bush, Esq. Alston H