Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley C. Franklin and Pari Franklin, Claimants v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Mark E. Jachec, Respondents Case Number: 03-01968 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Julia Nell Delao and Deanna Lang Campise and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Carl Lee Thompson Case Number: 03-01967 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Julia Nell Delao and Deanna Lang Campise ("Claimants") wer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Cagft Number 03- Melva J. Thompson, IRA Clement Thompson Names nf the Respondents Hearing Site- Raleigh, NC J.J.B. Milliard, W.L. Lyons, Inc. C. Mark Hall Nature of the Dispute: Customers v. Member and Associated Person. RF.PRFSFNTATTON OF PARTTF.S Claimants, Melva J. Thompson, IRA and Clement Thompson, hereinafter collectively referred to as "Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Suk Tae Bae and Eun Jin Bae v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Craig M. Cox Case Number: 03-01963 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondents: Neg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-01959 Donna R. Venski Stanley J. Venski Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Securities, Inc. Robert F. Finnigan Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Donna R. Venski and Stanley J. Venski, hereinafter collectively referred to as "Cla

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mark L. Preston and 03-01956 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 Mark L. Preston ("Claimant") was represented by Isham B. Bradley, Esq., Brentwood, Tennessee. Citigroup Global Markets, Inc. ("Respondent") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janet Newman, the Newman Family Trust, the Newman Testamentary Trust, and Culver Shoe Corporation, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc. and Susan Wingard, Respondents Case Number: 03-01954 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Gregory J. Sherwin, Esq. Fi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Boris Vaysburd, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 00-03571 Hearing Site: New York, New York REPRESENTAHQN OF PARTIES Claimant, Boris Vaysburd, hereinafter referred to as "Claimant": G. Alexander Novak, Esq., Novak & Juhase, New York, NY. Respondent, TD Waterhouse Investor Services, Inc., hereinafter referred to as ~ "Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: SUZANNE BOREN, Claimant, vs. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, ROBERT V. CECIL and NANCY A. SHERTZER, NASD Arbitration # 03-01950 PFPPFSFNTATTON OP Claimant Suzanne Boren, hereinafter referred to as "Claimant," was represented by Arthur Hewett, P.O. Box F-2, Snowmass, CO 81615. Respondents Merrill Lynch, Pierce, Fenner & Smith Incorpo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Stacey Stewart and Julie Stewart Name of the Respondent Robert W. Baird & Co., Inc. Case Number: 03-01946 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Tracy Pride Stoneman, Esq., with Law Offices located in Westcliffet, Colorado, represented Claimants Stacey Stewart and Julie Stewar