Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-08187 Bruce & Deborah Nichols Name of the Respondent Hearing Site: Dallas, Texas Morgan Stanley DW Inc. NATURE OF THE DISPUTE Public Customers vs. Member Firm REPRESENTATION OF PARTIES Claimants Bruce & Deborah Nichols, hereinafter collectively referred to as "Claimants": Robert L. Wright, Esq., of the Robert L. Wright, P.C., located

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Aronow and Ellen D. Aronow (Claimants) v. Morgan Stanley Dean Witter Inc., Allison B. Kumble and Hillary Kurnble-Freeman (Respondents) Case Number: 05-01403 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Michael Aronow ("M. Aronow") and Ellen D. Aronow ("E. Aronow") hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00552 Nizza Burstyn Machinery Rentals, Inc. Capitol Machinery Corporation Benbur Realty Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Equity Group, LLC Wachovia Securities, LLC Prudential Securities, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Nizza Burstyn (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philippe Rey (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) and Olivier Frichou (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) and Kamal Salim Tayara (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 04-06844 Hearing Site: New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philippe Rey (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) and Olivier Frichou (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) and Kamal Salim Tayara (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 04-06844 Hearing Site: New Y

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 01-02392 Interbay Coatings, Inc. Name of the Respondent Hearing Site: Tampa, Florida Woodbury Financial Services, Inc. f/k/a Fortis Investors, Inc. Name of the Third Party Respondent Anthony J. Nelli, Jr. REPRESENTATION OF PARTIES For Interbay Coatings, Inc. ("Interbay"), hereinafter referred to as "Claimant": Kalju Nekvasil, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philippe Rey (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) and Olivier Frichou (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) and Kamal Salim Tayara (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 04-06844 Hearing Site: New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Rendina and 3003 GP Inc. (Claimants) v. Ladenburg, Thalmann & Co., Inc., Barry Cohn, and Sue Herschbach (Respondents) Case Number: 03-04753 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Paul Rendina ("Rendina") and 3003 GP Inc., ("GP"), hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph E. Manos, Claimant v. Wachovia Securities, LLC, Terry L. Chase, Damon Daniels, and Christine A. Feldpausch, Respondents Wachovia Securities, LLC, Counter-Claimant v. Joseph E. Manos, Counter-Respondent Case Number: 03-04433 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Associated Person v. Member, Associated Persons, and Unassociated Person Member v. Associated P

AWARD NASD Dispute Resolution Frederick Westerfield individually and on behalf of his IRA vs. Wachovia Securities, Inc. n/k/a Wachovia Securities, LLC. and Milliet K. Lanham Arbitration Number: 03-02046 Hearing Location: Baltimore, Maryland Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Frederick Westerfield, individually and on behalf of his IRA ("Claimant"), was represented by Ford C. Ladd, Esq.,