Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC Name of the Respondent Adam Deane Case Number: 05-03670 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC (Wachovia), hereinafter referred to as "Claimant": Gregory Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Flo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stanley Freundlich and Judith Freundlich, (Claimants) vs. Ladenburg Thalman & Co. Inc. and David Epstein, (Respondents) Case Number: 01-00595 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Stanley Freundlich ("S. Freundlich") and Judith Freundlich ("J. Freundlich"), hereinafter collectively referred to as "Claimants": Fred N. Knopf, Esq., Wilson, Elser,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03669 Gwen Brubaker, (Claimant) vs. Eric Dean Jacobs and Brookstreet Securities Corporation, (Respondents) ATTORNEYS: Claimant appeared pro se,La Mesa, CA. Respondent Eric Dean Jacobs ("Jacobs") appeared pro se, San Marcos, CA. For Respondent Brookstreet Securities Corporation ("BSC") appeared H. Thomas Fehn, Esq., of the firm Fields, Fehn & Sherwin, Los Angeles, CA. Eric Dean Jacobs

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03628 Melanie Proctor Megenity, (Claimant) vs. LMT Capital Markets, LLC, John Patrick Trears and John Richard Liegey, (Respondents) ATTORNEYS: Claimant appeared pro se, Duluth, GA. Respondent LMT Capital Markets, LLC did not submit an Answer to the Statement of Claim. Respondent John Patrick Trears did not submit an Answer to the Statement of Claim. Respondent John Richard Liegey did not

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC vs. Timothy Joseph Heitmann Case Number: 05-03598 Hearing Site: Washington, D.C. Nature of the Dispute: Member v. Associated Person. RFPRFSFNTATIOM OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Jonathan E. Levine Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. Respondent, Timothy Joseph

NftSD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03588 New Castle Financial Group, Inc., (Claimant) vs. Robert Hodgins and Christopher Driscoll, (Respondents) ATTORNEYS: For Claimant appeared in-house counsel Brett D. Zinner, Esq., Plainview, NY. Respondent Robert Hodgins did not submit an Answer to the Statement of Claim. Respondent Christopher Driscoll did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joanne Montgomery Moore, Sherry Montgomery Semrad, Individually and as Co-Executors of The Estate of William S. Montgomery and Case Number: 05-03586 Hearing Site; Houston, Texas Names of Respondents Prudential Equity Group, Wachovia Securities, LLC, Wachovia Securities Financial Network Prudential Financial, Inc., Wachovia Corporation and Ed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benson York Group (Claimant) vs. Christopher D. Driscoll (Respondent) Case Number: 05-03581 Hearing Site: New York City, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Benson York Group hereinafter referred to as "Claimant": John J. Conroy, Benson York Group, New York, NY. Respondent Christopher D. Driscoll hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abdul Afhdi (Claimant) vs. Morgan Stanley Dean Witter, Inc. (Respondent) Case Number: 05-03580 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Abdul Arridi hereinafter referred to as "Claimant"; G. Alexander Novak, Esq., Novak, Juhase & Stem, LLP, Cedarhurst, NY. Respondent Morgan Stanley Dean Witter, Inc. hereinaft

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03570 A. Elaine Joyce Trust, (Claimant) vs. Waddell & Reed, Inc., (Respondent) ATTORNEYS: For Claimant appeared Rodney L. Joyce, Chevy Chase, MD. For Respondent appeared Carrie J. Bechtold, Esq. of the firm Blackwell Sanders Peper Martin LLP, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 11, 2005 CASE SUMMARY: Claimant alleged that Respondent placed her in in