NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD NO. 85-01268 In the Hatter of Arbitration Between ) REBECCA KING ) Claimant ) v. DREXEL BURNHAM LAMBERT, INC. CHARLES BEST, GEORGE HILHOT Respondents CASE SUMMARY Rebecca King ("Claimant") alleged the following: 1. Drexel Buroham Lambert, Inc. ("Drexel") Charles Best ("Best"), and George Wilroot ("Hilmot") (Drexel, Best and Hilmot are collectively referred to herein as "Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John G. Boston and Virginia A. Boston, Individually and as Trustees for the John G. Boston and Virginia A. Boston Trust vs. Case Number: 05-06530 Hearing Site: Kansas City, Missouri Names of Respondents Alan Kent Suiter and Samuel Edward Parsons NATURE OF THE DISPUTE Customers vs. Associated Persons REPRESENTATION OF PARTIES John G. Bos

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant U.S. Bancorp Investments, Inc. vs. Names of Respondents Nadia T. Cavner, Rebecca R. Angus, and Steven E. Clark Case Number: 05-04734 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES U.S. Bancorp Investments, Inc. ("Claimant") was represented by Michael C. Lueder, Esq., Foley

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James T. Ryan, IRA DTD 5/5/2000 vs. Case Number: 05-03698 Hearing Site: Chicago, Illinois Name of Respondent Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES James T. Ryan, IRA DTD 5/5/2000 ("Claimant") was represented by James J. Eccleston, Esq. and April Lindauer,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carrie G. Lutz vs. Case Number: 04-07102 Hearing Site: Dallas, Texas Name of Respondent Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Carrie G. Lutz ("Claimant") was represented by Richard A. Lewins, Esq., Burg Simpson Eldredge Hersh Jardine PC, Dallas, Tex

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Marjorie Maurine Thomas and Neal Stout vs. Case Number: 03-06944 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Prudential Equity Group, LLC, Carl W. Busch, Billy W. Cobb, and John Charles Pierce NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Marjorie Maurine Thomas ("Thomas") and Neal St

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Paine Webber, Inc. i and Case Number: 02-05808 Hearing Site: Dallas, Texas Name of Respondent Michael Hernandez NATURE OF CASE Member v. Associated Person REPRESENTATION OF PARTIES UBS PaineWebber Inc. ("PaineWebber") was represented by Brent A. Burns, Esq. Of the law firm Davidson, Manchel & Brennan, LLP located in Northvale, New J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Reid and Theresa Reid (Claimants) v. Continental Broker-Dealer Corp., Gregory M. Hasho, Thomas Michael Tiernan, Jr., Dominick Michael Bianco, Leon Fintz, David Harry D'Agostino (Respondents) Case Number: 05-01067 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Howard Reid ("H. Reid") a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Duane Wilke and Marie Wilke v. Aragon Financial Services, Inc. and David P. Bax Case Number: 01-02700 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: For Respondent Aragon Financial Services, Inc. For Respondent David P. Bax: Richard Peter Kammet Investor Consumer Advocates Las Vegas, Nevada Reza M. Bidgoli, Esq. Aragon Financ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael C. Vanin (Claimant) v. Prudential Securities, Inc. (Respondent) Case Number: 04-07900 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael C. Vanin, hereinafter referred to as "Claimant": Gary C. Crossen, Esq., Rubin and Rudman, LLP, Boston, MA. Respondent Prudential Securities, Inc., hereinaf