Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles R. Kuhno (Claimant) v. Citigroup Global Markets, Inc. i/k/a Salomon Sm Inc. and James Joseph Reilly (Respondents) th Barney, Case Number: 03-00637 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Charles R. Kuhno ("Kuhno") hereinafter referred to as "Claimant": Eric Esq., Garden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counterrespondent Case Number: 03-00634 Merrill Lynch Pierce Fenner & Smith, Inc. Name of the Respondent/Counterclaimant Hearing Site: Chicago, Illinois Dr. Spiros Stamelos Type of Controversy: Member Firm v. Customer and Customer v. Member Firm REPRESENTATION OF PARTIES John J. Kilkenny, Esq. of the firm Ungaretti & Harris located in Chicago, Illinois repre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant AnantN. Mauskar and Name of Respondent Raymond, James & Associates, Inc. Case Number; 03-00628 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Anant N. Mauskar ("Claimant" or "Mauskar") was initially represented by Darren C. Blum, Esq., Law Office of Darren C. Blum, P.A., Plantation, Florida. On

Award NASD Dispute Resolution In the Matter 01 the Arbitration between: Name of the Claimant Case Number: 03-00626 Florence R. Guerrieri Names of the Respondents Hearing Site: Boca Raton, Florida WM Financial Services Michael A. Zapata Robert A. Peck REPRESENTATION OF PARTIES Claimant Florence R. Guerrieri ("Guerrieri") appeared pro se. For WM Financial Services ("WMFS"), Michael A. Zapata ("Zapata") and Robert A. Peck ("Peck"), hereinaf

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cross Offshore, L.L.C. Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Amos Keith Katz Case Number: 03-00625 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cross Offshore, L.L.C. ("Cross Offshore"), hereina

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants Marc Bambino Lottie Bambino Revocable Inter Vivos Trust for Marc Bambino Revocable Inter Vivos Trust for Lottie Bambino Case No. 00-04364 Names of Respondents A.G. Edwards & Sons, Inc. Kerry Constantine Geaneas Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Marc Bambino, Lottie Bambino, Revocable Inter Vivos Trust for Marc

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00623 Danny L. Canterbury Names of the Respondents Hearing Site: Tampa, FL Allen & Company of Florida, Inc. Laura J. Hawley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Danny L. Canterbury, hereinafter referred to as "Claimant": Jeffrey A. Froeschle, Esq. and Joseph A. Prob

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph Y. Liu, Claimant v. A.G. Edwards & Sons, Inc. and Mary Carruthers, Respondents Case Number: 03-00618 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: In Propria Persona Norco, California For Respondents: Michael Naccarato, Esq. A.G. Edwards & Sons, In St. Louis, Missouri CASE INFORMATION Statement of Claim filed: January 14, 2003

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Quzi M. Ahmed Names nf the Respondents Salomon Smith Barney, Inc, n/k/a Citigroup Global Markets, Inc. Thomas Harold Clark Katie Clark Number- 03-00611 Site- Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRttSFNTATTON OF PARTIES Claimant, Quzi M. Ahmed, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf th^ Claimants Case Number 03-00606 Mary Giordano, IRA Angela Giordano (Gregory Giordano, Power of Attorney) Mary Giordano and Gregory Giordano, JNT Mary Giordano and Donna Bartolino, JNT Nmne ofthp Respondents Hearing Site' Philadelphia, PA American Wealth Management, Inc. Thomas C. Giordano Nature of the Dispute: Customers vs. Member and Associated Person RF