Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joanne Z. Thies, individually, Joanne Z. Thies Trustee for the Joanne Z. Thies Heritage Trust, Claimants v. Paulson Investment Company Inc. and Peter Chaisson Jones, Respondents Case Number: 03-00490 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard M. Layne, Esq. Layne & Lewis LLP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number 03-00486 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney., Inc. Name nf the Respondents Hearing Site: Philadelphia, PA Janney Montgomery Scott LLC Jan Peter Cummins Peter Rowan Cummins Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Citigroup Global Markets, Inc., f/k/a Sa

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Loras and Carol Auderer vs. Donald & Co. Securities, Inc. and Bruce L. Troyer Case Number: 03-00485 SITUS: St. Louis, Missouri NATURE OF DISPUTE: Customer v. Terminated Member and Associated Person REPRESENTATION OF PARTIES: Loras and Carol Auderer, hereinafter referred to as "Claimants": Todd A. Strother, Esq. and Stacie Codr, Esq. of the law firm Bradshaw, Fowler, Procter & Fa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Anthony Weiss Name of Respondents Credit Suisse First Boston Corporation, Frank Quattrone and Elliot Rogers Case Number: 03-00481 Hearing Site: Dallas, Texas NATURE OF DISPUTE Public Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Anthony Weiss (hereinafter referred to as "Claimant") was represented by Jakes

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thi* riaimants Case Number! 03-00479 Richard Carrillo, Maria D. Carrillo, and Maria D. Carrillo IRRA Name nf thfr Respondents Hearing Sitp.: Albuquerque, New Mexico Merrill Lynch Pierce Fenner & Smith, Inc. Rittenhouse Financial Services, Inc., a/k/a Rittenhouse Asset Management, Inc., David Alvarez, Fred Eric Hirsch, Amy Fetkovich and Laurel Capital Advisors

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number (1*3-00475 Jane M. Junkins IRA Name nf the RpspnnHents Hearing Site- Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith, Inc. William Orr Nature of the Dispute: Customer vs. Member and Associated Person. KFPRFSFNTATTON OF PARTTFS Claimant, the Jane M. Junkins IRA, "Claimant", was represented by William A. Healy, Esq., At

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Howe (Claimant) v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Joseph Heyer (Respondents) Case Number: 03-00473 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Susan Howe ("Howe") hereinafter referred to as "Claimant": Michael Kalmus, Esq., New York, NY.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert W. Taylor and 00-04342 Phoenix, Arizona Name of Respondent Vanguard Marketing Corporation REPRESENTATION OF PARTIES Robert W. Taylor ("Claimant") appeared pro se> Vanguard Marketing Corporation ("Respondent") was represented by Pauline C. Scalvino, Esq., The Vanguard Group, Valley Forge, Pennsylvania. CASE INFORMATION The Statemen

NASD Dispute Resolution, Inc. Arbitration No. 00-00441 Award Page 1 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Andrew W. Steeno Case No. 00-00441 Name of Respondent E*Trade Securities, Inc. REPRESENTATION OF PARTIES Claimant Andrew W. Steeno ("Steeno") was represented by Matthew Robert Falk, Esq., of Domnitz, Mawicke & Goisman, S.C,, located in Milwaukee, Wisconsin. Respondent E*

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rodger Bender as Personal Representative of the Estate of Harry E. Bender and on behalf of Dorris Bender, Claimant v. Sigma Financial Corporation and Michael J. Penn, Respondents Case Number: 03-00465 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Shannon L. McDougald, Esq. Perkins Coie LL