Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00353 Eiko Hiramoto Smedy Names of the Respondents Hearing Site: Little Rock, Arkansas Prudential Securities, Inc. Alex Muscati, ni Kenneth Charles Quintana Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Eiko Hiramoto Smedy, hereinafter referred to as "Claimant": Stanley T. Pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00352 Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Teshome Bokan, hereinafter referred to as "Claimant": Daniel R. Solin, Esq. and David Valicenti, Esq., Cain Hibbard Myers & Cook, PC, Pittsfield, Massachusetts and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Randy Jay Marks Case No. 00-04330 Names of Respondents Anthony C. Pintsopoulos Frank Nicholas Salvatore William Betta, Jr Anthony Visone Joseph Charles Visconti Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Randy Jay Marks ("Marks"), hereinafter referred to as "Claimant": Russell L. Forkey, Esq., Russell L. Forkey,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00350 Prudential Securities, Inc., Claimant vs. Chulse Park, Respondent. ATTORNEYS: For Claimant, Prudential Securities Inc., ("Claimant") appeared Steven P. Gomberg, Esq. of the firm Rooks, Pitts, Chicago, IL. Respondent, Chulse Park, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: January 14, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed and refu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen Seplowe and Harry V. Mardigan (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-00349 Hearing Site: Albany, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Stephen Seplowe ("Seplowe") and Harry V. Mardigan ("Mardigan") hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Allen Mehall, Claimant v. Wachovia Securities, LLC, Respondent Case Number: 03-00345 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: William R. Lindsley, Esq. Law Offices of William R. Lindsley Toledo, Ohio For Respondent: David F. Faustman, Esq. Lester Aponte, Esq. Grotta, Glassma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher J. Golec and Kathryn Golec, individually and as trustees of the Golec Family Trust, Claimants v. Credit Suisse First Boston LLC and Douglas Paul Fiek, Respondents Case Number: 03-00344 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Robert L. Gonser, Esq. Bria

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael B. Burke and Constance Burke v. 03-00342 Denver, Colorado Respondents Citigroup Global Markets, Inc., f/k/a. Salomon Smith Barney, Inc. and Jack B. Grubman Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Michael B. Burke and Constance Burke ("Claimants") were represented by James Richard Hooper, Esq., of Hoop

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00341 Hyman Kaplan TTEE Hyman Kaplan Revocable Trust & Beatrice O. Kaplan TTEE Beatrice O. Kaplan Revocable Trust, Claimants v, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Hyman Kaplan TTEE Hyman Kaplan Revocable Trust & Beatrice O. Kaplan TTEE Beatrice O. Kaplan Revocable Trust, ("Claimants"), appeared James Rich

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00340 Vincent Mazzilli & Cheryl Pearson, Claimants v. Citigrou Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Vincent Mazzilli & Cheryl Pearson, ("( Hooper, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a ' B. Grubman, ("Respondents"), appeared Bradford D. KE NATURE OF DISPUTE: Customers v. Member and Associated Person DATE