AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James Del Hauncher, Joanne Gray Hauncher, James Del Hauncher Trust and Joanne Gray Hauncher Trust and 04-07014 Phoenix, Arizona Name of Respondents Edward D. Jones & Co. Scott L. Wirgau Christian Weekly Baker Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES James Del Hauncher, Joanne Gray Hauncher, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bill Fuqua, Debra Fuqua, Bill Fuqua IRA, Debra Fuqua IRA, Donald Fuqua and Lavonne Fuqua, Claimants v. Citigroup Global Markets Inc., Respondent Case Number: 04-07012 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: For Respondent: David Gaba, Esq, Compass Law Group PLLC Seattle, Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adam Matthew Tirado (Claimant) v. PHD Capital, Jody Eisenman, Peter Hoffman, Nelson Braff, Christopher Howard Jacobsen, Jack Wilson, Anthony Knox, Jordan Ched Gelb, Josh Griffiths, Rick Jones, John Wong, Brian Schwartz, and Ron Itin (Respondents) Case Number: 04-07008 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant 1325 Wilson LLC and 04-07006 Chicago, Illinois A.G. Edwards & Sons, Inc. Daniel Benninghoven, n Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES 1325 Wilson LLC ("Claimant") was represented by Will B. Jones, Esq., Messer & Stilp, Ltd., Chicago, Illinois. A.G. Edwards & Sons, Inc. ("Respondent") and Daniel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paul C. Spoelstra and 04-07001 Chicago, Illinois Name of Respondent John I. Moore Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Paul C. Spoelstra ("Claimant") was represented by Anthony Paduano, Esq., and Willard Knox, Esq., Paduano & Weintraub, LLP, New York, New York. John I. Moore ("Respondent") was r

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00303 CCJ Trust Mittersill Investment Partners Names of the Respondents Hearing Site: Boca Raton, FL CIBC World Markets Corp. Emanuel A. Scarso Joseph C. Quattrochi LCP Capital Corp. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For CCJ Trust ("CCJ") and Mittersill Invest

Aus. 4- 2005 12:47PM J. NOLAND FRANZ & ASSOCIATES No.8451 P. I AWARD NASD Dispute Resolution In the Matter of die Arbitration Between Name Of Claimant Maria Lindcmann and 04-06995 Phoenix, Arizona Name of Respondent Citigroup Global Markets, Inc. fit/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Maria Lindemann ("Claimant") was represented by James Richard Hooper, Esq. ? Hooper

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06992 Zandra Spector Names of the Respondents Hearing Site: Boca Raton, Florida Advest, Inc. Gary Schweifel Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Zandra Spector, hereinafter referred to as "Claimant": Alan Foxman, Esq., Boca Raton, Florida. For Respondent Advest, Inc., ("Ad

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC and 04-06951 Phoenix, Arizona Name of Respondent John Y. Huber, IV Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois. John Y. Huber, IV ("Respondent") was represented by Mark D. Chester, Esq., Ch

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC and 04-06950 Phoenix, Arizona Name of Respondent Joseph Andrews Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois. Joseph Andrews ("Respondent") was represented at the hearing by Richard S. Berry