Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick J. O'Meally (Claimant) v. Prudential Securities, Inc. and Wachovia Securities, LLC (Respondents) Case Number: 05-01678 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Frederick J. O'Meally hereinafter referred to as "Claimant": Peter Fleming, Jr., Curtis, Mallet-Prevost, Colt & Mosle LLP, New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Richard Ina, Daniel Morilak, and Michael Parziale, Respondents Richard Ina, Daniel Morilak, and Michael Parziale, Counter-Claimants v. Bane of America Investment Services, Inc., Counter-Respondent Richard Ina, Daniel Morilak, and Michael Parziale, Third-Party Claimants v. David Ohanian, Third-Party Respondent Case Number: 05

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Guy Anderson, Yolanda C. Bailey, Anna M. Flores, Mildred Murach, Melvin Perry Runyan, Theresa W. Anderson, Sherri Wippert, James Shanks, Sandra Behnke, Clifford A. Douglas, Mick Patkowski, Vicki L. Douglas, and R. Hampton Wolfe vs. Case Number: 05-00914 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc. f/k/a S

StipulatedAward NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00574 Timothy A. McCarthy and Sharon F. McCarthy Names of the Respondents Hearing Site: Washington, DC Morgan Stanley DW, Inc. Mark McCaffrey Nadia Adly Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Timothy A. McCarthy and Sharon F. McCarthy, hereinafter collective

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James A. Cully, (Claimant) vs. Investors Capital Corporation, Daniel David Sheehan, and Sheehan Elder Planning, Inc., (Respondents) Case Number: 01-02374 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, James A. Cully, hereinafter referred to as "Claimant": Joseph P. Carmichael, Esq., a sole practitioner, Salem, MA. Respondent, Investors Capital Corporatio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Leonel Abay Case Number: 05-00444 Names of the Respondents Morgan Stanley, a foreign corporation David Louis Burg, an Individual Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leonel Abay, hereinafter referred to as "Claimant": Cheryl L. Reiss, Esq. and Guy Bai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) v. Jay I. Austin (Respondent) Case Number: 05-00396 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": John E. MacDonald, Esq., Stark & Stark, Princeton, NJ. Respondent Jay I. Austin hereinafter referred to as "R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The CMS Group, LLC (Claimant) vs. Chatsworth Securities, LLC and Southwest Securities, Inc. (Respondents) Case Number: 06-01201 Hearing Site: New York, New York Nature of the Dispute: Member vs. Members REPRESENTATION OF PARTIES Claimant The GMS Group, LLC hereinafter referred to as "Claimant": Timothy Walsh, Esq., and Jules Elese Angelley, Esq., DLA Piper Rudnick Gray Gary US L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01170 Richard S. Young Elizabeth A. Young Name of the Respondent Hearing Site: Orlando, Florida Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Richard S. Young and Elizabeth A. Young, hereinafter referred to as "Claimants", appeared pro se. For Charles Schwab & Co., Inc., hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00600 The Estate of Louise T. McCullen (Lottie T. Smith, Executor) Names of the Respondents Hearing Site: Raleigh, North Carolina First Citizens Investor Services, Inc. Timothy Wilson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Estate of Louise T. McCullen (Lottie T. Smith, Execu