Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, LLC, Claimant v. Raymond C. Wu, Respondent Case Number: 05-05207 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: David W. Schmidt, Esq. Lubiner & Schmidt Cranford, New Jersey For Respondent: Raymond C. Wu Arcadia, California No Appearance CASE INFORMATION

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John D. Carter, Jerry W. Munday, and Stephen A. Smith vs. Names of Respondents A.G. Edwards & Sons, Inc. and Byron Lee Holley Case Number: 05-04490 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES John D. Carter, Jerry W. Munday, and Stephen A. Smith, hereinafter col

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03723 Terry A. Messner Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW Inc. William Messner Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Terry A. Messner, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Silver, LLP, Coral Spring

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ted Cohen (Claimant) v. Millennium Securities Corp., Jerry Markowitz, Richard Sitomer, Todd Rome, and RPR Correspondent Services n/k/a Dain Correspondent Services (Respondents) Case Number: 01-02380 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Ted Cohen ("Cohen") hereinafter referred to as "C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paragon Capital Markets, Inc., (Claimant) vs. Lawrence R. Kobren, (Respondent) Case Number: 00-00834 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Paragon Capital Markets, Inc., hereinafter referred to as "Claimant"; David S. Smith, Esq., Smith Campbell & Paduano, New York, NY. Previously represented by: Michele Wessel, Director, Paragon Capital Markets,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rebecca L. Johnson vs. John Coble and Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Ameriprise Financial Services, Inc. Case Number: 05-03232 Hearing Site: Charlotte, NC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Rebecca L. Johnson hereinafter referred to as "Claimant", was represented by Louis L. Lesesne, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence Marcus, Claimant v. Trautman Wasserman & Company, Inc., TW Holding Company, Inc., TW Private Equity Corporation, Greg Trautman, and Samuel Wasserman, Respondents Case Number: 05-02992 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member, Non-Members, and Associated Persons REPRESENTATION OF PARTIES For Claimant: Cliff Palefsky,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Craig A. Spry Names of the Respondents Wachovia Securities, LLC Wesley M. Egan Case Number: 05-02701 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Craig A. Spry, hereinafter referred to as "Claimant", was represented by Joseph W.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Harold Goldberg Name of the Respondent Citibank d/b/a Citicorp Investment Services Case Number: 05-01231 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harold Goldberg, hereinafter referred to as "Claimant": Eric Norstedt, Esq., Sonn & Erez, LLP, Fort Lauderdale, Florida. For Citiba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01580 Marguerite A. Kern Names of the Respondents Hearing Site: Richmond, Virginia National Planning Corp. Dale E. Wright Michael J. Thaler John Edward Girouard Capital Investment Advisors Equity Concepts, LLC Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Persons. REPRESENTATION OF PARTIES Claiman