AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant • David Brian Sullivan and Names of Respondents Augustus Capital, LLC, and Mark Alan Abeshouse Case Number: .05-00439 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Associated Person v. Member Firm and Associated Person REPRESENTATION OF PARTIES David Brian Sullivan ("Claimant") appeared 1 pro sel ; .. .. ' ' , Augustus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jan M. Miller, Claimant v. Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC, Wachovia Securities, LLC and Joseph Tomkiewicz, Respondents Case Number: 05-00435 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert Clauss and Prime Charter Ltd. and Craig M. Skop 01-00458 Omaha, Nebraska REPRESENTATION OF PARTIES Robert Clauss ("Claimant") who is a lawyer, represented himself. Prime Charter, Ltd. ("Prime Charter") and Craig M. Skop ("Skop"), hereinafter referred to as "Respondents," were represented by Evelyn Bukchin, Esq., Prime Charter Ltd., New York, New York.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deepika Arora, Claimant v. Carl A. Giangrande and Vineet Goel, Respondents > Case Number: 05-00432 ' Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: In Propria Persona Fremont, California For Respondent Carl A. Giangrande: In Propria Persona Lindenhurst, New York V. -i 1 For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Richards, Claimant v. First Securities USA, Inc., Brookstreet Securities Corp., and Miller Johnson Steichen Kinnard, Inc., Respondents Case Number: 05-00431 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: Robert M. Moss, Esq. Law Offices of Robert M. Moss, Esq. Santa Monica, California For Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen Pugliese (Claimant) vs. Spear, Leeds & Kellogg, L.P./Goldman Sachs Execution & Clearing, L.P., and Goldman Sachs & Co. (Respondents) Case Number: 05-00427 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Stephen Pugliese hereinafter referred to as "Claimant": David M. Fish, Esq. Previously represente

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel A. Stornelli and Anne E. Storneili, JTWROS, Samuel A. Stornelli, IRRA and Samuel A. Stornelli (Claimants) v. Merrill Lynch, Pierce, Fenner and Smith, Inc. (Respondent) Case Number: 05-00422 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimants Samuel A. Stornelli and Anne E. Stornelli, JTWROS, Samuel A. Stornelli, IRRA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: I Name of the Claimant Reginald J. Anson Names of the Respondents Citigroup Global Markets, Inc., f/k/a Smith Barney, Inc. Comerica Securities, Inc. Case Number: 05-00419 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES I For Claimant, Reginald J. Anson, hereinafter referred to as "Claimant": Neal J. Blahe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. fk/a Salomon Smith Barney Inc., Claimant v. Neil C. Winterrowd, Respondent Neil C. Winterrowd, Counter-Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Counter-Respondent Case Number: 05-00405 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. Bruce W. Korus, Respondent Case Number: 05-00402 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person » REPRESENTATION OF PARTIES < i For Claimant: Steven T. Masada, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Bruce W. Korus ProSe Olympia, Washington