Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry Brown, Claimant v. Prudential Equity Group, LLC and Stephen B. Turner, Respondents Case Number: 04-06743 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jules L. Federman Personal Representative Santa Barbara, California For Respondents: Jeffrey E. Glen, Esq. Anderson, Kil

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Peter C. Jarnberg v. 04-06349 Minneapolis, Minnesota Respondents Citigroup Global Markets, Inc. and Jameson J. Viljaste Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Peter C. Jarnberg ("Claimant") was represented by Susan F. Bullard, Esq., of London & Bullard, PLLC, Minneapolis, Minnesota. Citigroup Global Marke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Wachovia Securities, Inc. (n/k/a Wachovia Securities, LLC), Kent R. Elliott, Matthew H. Schmitt, and Diana M. Sanchez, Respondents Wachovia Securities, Inc. (n/k/a Wachovia Securities, LLC), Kent R. Elliott, Matthew H. Schmitt, and Diana M. Sanchez, Counter-Claimants v. Wells Fargo Investments, LLC, Counter- Respondent Wachovia Securities, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Walter F. and Paulina M. Sulewski and Names of Respondents Sll Investments, Inc., 'A'ciiren Jack Berg ana Warren J. Berg & Associates Case Number: 04-06027 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customers v. Member Firm, Associated Person and Non-Member REPRESENTATION OF PARTIES Walter F. and Paulina M. Sulewski ("Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-05773 Robert L. and Patricia F. Oliver Name of the Respondents Hearing Site: Dallas, Texas. Intersecurities, Inc.; Gregory James Hilderbrand; and, Peter Even Dahlstrom NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimants Robert L. and Patricia F. Oliver, hereinafter referred to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Thomas Y. Kim v. 04-05405 Denver, Colorado Respondents CUSO Financial Services, L.P., Bellco Credit Union and Bellco First Financial Services, Inc. NATURE OF DISPUTE Associated Person v. Member and Non-Members REPRESENTATION OF PARTIES Thomas Y. Kim ("Claimant") was represented by Ethan A. Brecher, Esq., of Liddle & Robinson, L.L.P., New York, New

AMENDED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Subash S, Desai, Sudha S. Desai, Parag Desai and Ankur Desai and Names of Respondents RBC Dain Rauscher, Inc., Frank Tighe and Richard S. Friedman Case Number: 04-05174 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Subash S, Desai, Sudha S. Desai, Para

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names rt Morris and Lillian Teitel Case No. 99-02785 Names of Respondents First Union Brokerage Services, Inc. Cindy Lee Sachs REPRESENTATION OF For Morris and Lillian Teitel, hereinafter collectively referred to as "Claimants"; Louis Teitel, Esq. of Dunnington, Bartholow & Miller LLP, New York, New York. For First Union Brokerage Services, Inc. ("First Union") and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Esteban Leon Carmelina de Leon Carlos Alberto Leon Mariela Leon Names of the Respondents Stanford Group Company UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. UBS International, Inc. Wallstreet Electronica, Inc. Pedro Penzini Cecilia Gonzalez Rafael Avila Carlos F. Otalvaro Carlos N. Otalvaro Cas

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alyce Ball and Case Number: 04-05158 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Edward D. Jones & Co. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Alyce Ball ("Claimant") was represented by A. Daniel Woska, Esq., Woska & Hayes, LLP, Oklahoma City, Oklahoma. Edward D. Jones & Co. (''Edward Jones" or "Respondent")