Award NASD Dispute Resolution In the Matter of the Arbitration Between: Investec (US) Incorporated f/k/a Investec Ernst & Co. (Claimant) v. William Julian (Respondent) Case Number: 04-06614 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Investec (US) Incorporated f/k/a Investec Ernst & Co. ("Investec") hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmid

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06613 Regar Mickler Name of the Respondent Hearing Site: Tampa, Florida Prudential Financial Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Regar Mickler, hereinafter referred to as "Claimant", appeared pro se. For Prudential Financial Incorporated, hereinafter referred to as "Respondent": Jose

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacqueline Connerty-Pierre (Claimant) v. Merrill Lynch, Pierce, Fenner, & Smith Incorporated (Respondent) Case Number: 04-06595 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Jacqueline Connerty-Pierre hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carmen N. Capri (Claimant) v. PNC Divestments (Respondent) Case Number: 04-06594 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Carmen N. Capri hereinafter referred to as "Claimant": James D. Hamilton, Jr., Esq., Dubois, Sheehan, Hamilton & Levin, LLC, Camden, NJ. Respondent PNC Investments hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Magda Herzog (Claimant) vs. Peter Bisgeier, Prudential Securities Inc., n/k/a Prudential Equity Group, LLC, Prudential Financial and Wachovia Securities, LLC (Respondents) Case Number: 04-06571 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Members REPRESENTATION OF PARTIES Claimant Magda Herzog ("Herzog") hereinafter referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irving F. Boekelheide and Priscilla D. Boekelheide, individually and as Trustees fbo Boekelheide Family 1987 Revocable Trust U/A/D 6/4/87, Claimants v. Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney, Inc.), Respondent Case Number: 04-06568 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Val D

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06547 Kris Karra, (Claimant/Counterclaim Respondent) vs. AOS, Inc., (Respondent/Counterclaim Claimant) ATTORNEYS: ~~^ ~~~~~ Claimant/Counterclaim Respondent appeared pro se, North Vancouver, BC, Canada. For Respondent/Counterclaim Claimant appeared Chief Compliance Officer, Gary M. DeWeese, Chicago, IL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 15, 2004 CASE SU

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06545 Edward H. Guarnieri, Claimant v. Robert Cuillo and GunnAllen Financial, Inc., Respondents ATTORNEYS: " ~ For Claimant Edward G, Guarnieri ("Claimant") appeared Travis K. Morton, Esq., of the firm Brady, Nordgren, Klym & Morton, PLLC, Raleigh, NC. Respondent Robert Cuillo did not file a Statement of Answer in this matter. Respondent GunnAllen Financial, Inc. did not file a Statement of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patrick Lee and Patrick Lee IRA, (Claimants) vs. Glenn Michael Financial, Inc., Glenn Michael Lanaia, Francine Ann Lanaia, and Morris Angelou, (Respondents) Case Number: 01-00295 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Patrick Lee ("Lee") and Patrick Lee IRA ("Lee IRA"), hereinafter collectively referred to as "Claimants": John T. McGuire, Esq., a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06544 Steven K. and Yasemin S. Miller, Claimants v. Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: For Claimants Steven K. and Yasemin S, Miller (collectively "Claimants") appeared Jan Graham, Esq., of the firm Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") ap