Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daryl Hagler and Meryl Hagler (Claimants) v. Prudential Securities Incorporated nka Prudential Equity Group, LLC, and William Roth (Respondents) Case Number: 05-05150 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Daryl Hagler and Meryl Hagler hereinafter collectively referred to as "Claiman

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Prudential Equity Group, LLC vs. Case Number: 05-04823 Hearing Site: Dallas, Texas Name of Respondent John P. Murley NATURE OF THE DISPUTE Member Firm vs. Associated Person REPRESENTATION OF PARTIES Prudential Equity Group, LLC ("Claimant") was represented by John E. Jenkins, Esq. of the firm of Lubiner & Schmidt, located in Cranford, New Jersey.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Holdings Inc. (Claimant) v. Richard N. Blackwood (Respondent) Case Number: 05-04803 Hearing Site: Boston, Massachusetts Nature of the Dispute: Non-Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Holdings, Inc. hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Cranford, NJ. Resp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Sundaram Swetharanyam, Trustee of the Swetharanyam Living Trust of 1993 and Respondent TD Waterhouse Investor Services Case Number: 01-02399 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Swetharam Swetharanyam, Trustee of the Swetharanyam Living Trust of 1993 hereinafter referred to as "Claimant": Thomas Allen Filo, Esq., of Cox, Cox, Filo &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Thomas Farrow vs. Case Number: 05-04677 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and David George Pollock NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Robert Thomas Farrow ("Claimant") was represented by Frank V. Ghiselli, Esq., Houston, Tex

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04603 Wachovia Securities, LLC Name of the Respondent Hearing Site: Norfolk, Virginia William Jeffrey Reagan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Jonathan E. Levine, Esq., Law Office of Daniel S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04437 Steven and Janet Goldstein Names of the Respondents Hearing Site: Boca Raton, Florida Pacvest Associates, Inc. Barry Michael Kornfeld Robert K. Mann Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Steven and Janet Goldstein, hereinafter collectively referred to as "Claimants":

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc., Claimant v. Bradley J. Kroneberger, Respondent Bradley J. Kroneberger, Counter-Claimant v. Morgan Stanley DW Inc., Counter- Respondent Case Number: 05-04206 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Morga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04170 High Mark Securities, Inc. High Mark Associates, Inc. High Mark Insurance & Financial Services, Inc. John J. Pennachio Mark R. Wells Names of the Respondents Hearing Site: Atlanta, Georgia Royal Alliance Associates, Inc. AIG Equity Sales Corp. SunAmerica Securities, Inc. AIG SunAmerica Capital Services, Inc. AIG Fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Lund (Claimant) vs. Edward Jones (Respondent) Case Number: 05-04166 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard Lund hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Howard M. Rosenfield, Attorney at Law, Farmington, CT. Respondent Edward Jones hereinafter referred to as "Resp