Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-01452 Alfred L. Williams, Jr.; Courtney Williams; and, Travis Williams Name of the Respondents Hearing Site: Dallas, Texas Prudential Equity Group, LLC; Pruco Securities, LLC; Wachovia Securities, LLC; and, George Reynolds Howard, III NATURE OF THE DISPUTE Public Customer vs. Member Firms and Associated Person REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary H. Ellmore and Nancy Ellmore (Claimants) vs. Reliance Financial Group, Walter Grenda, Jr., and Securities America, Inc. (Respondents) Case Number: 05-01402 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Non-Member, Member and Associated Person. REPRESENTATION OF PARTIES Claimants Gary H. Ellmore ("G. Ellmore") and Nancy Ellmore ("N. Ellmore") hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Donald Adamson, and Donald and Diane Adamson, Joint Tenants, (Claimants) vs. Fahnestock & Co., Inc., Todd M. Nejaime, Gilford Securities, Inc. and Reich & Co., Inc. (Respondents). Case Number: 99-03005 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES Claimants, Donald Adamson, and Donald and Diane Adamson, Joint Tenants, (hereinafter collectively referred to as "Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01095 James B. Graybill Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Stanley Dean Witter Wilbur Ray Powell Gregory Ray Powell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James B. Graybill, hereinafter referred to as "Claimant": Pat Huddleston, II, Esq., H

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward E. Skinner, Claimant v. McDonald Investments Inc., Respondent Case Number: 05-01955 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant Edward E. Skinner: Rosalind M. Robertson, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent McDonald Investments Inc.: Anne M. Klepach, Esq. Ulmer & Berne, L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant • Pase Number 05-01906 Roger Brown Name nf the Respondent Hearing Site- Charlotte, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer v. Member. RFPKFSF.NTATinN OF PAPTTF.S Claimant, Roger Brown, hereinafter referred to as "Claimant", appeared pro se. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sidney H. Goodman, individually and as Trustee of the Sidney H. Goodman Revocable 1991 Inter Vivos Trust and Doris B. Francis, individually and as Trustee of the Doris B. Francis Living Trust, Claimants v. Leslie C. Stipek and Stipek Securities LLC, Respondents Case Number: 05-01850 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC and Case Number: 05-01550 Hearing Site: Houston, Texas Name of Respondent Timothy Crawford, Jr. NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Thomas Volz, Esq., Kane & Fischer, LTD, Chicago, Illinois. Timothy Crawford,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen Richard DeMarie (Claimant) v. Metlife Securities, Inc. and Rocco Capobianco (Respondents) Case Number: 05-01548 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Stephen Richard DeMarie, hereinafter referred to as "Claimant": Donald G. McGrath, Esq., McGrath & Polvino, PLLC, Williamsville,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norma Simerson, Claimant v. Citigroup Global Markets Inc. and Andrew J. Jurun, Respondents Case Number: 04-00879 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Douglas Stenzel, Esq. Young & Stenzel Palm Springs, California For Respondents: Dena L. Murphy, Esq. David