Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04666 Ceciia K. Ross IRA Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ceciia K. Ross IRA, hereinafter referred to as "Claimant": Douglas H. Glicken,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04663 Ronald A. Vemer IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB, Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald A. Vemer IRA, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04662 James E. Miller Robin L. Miller Names of the Respondents Hearing Site: New Orleans, Louisiana Larry G. Boggs Investacorp, Inc. Anthony Nettuno Nettuno & Associates, Inc. Nettworth Nettworth Financial Group Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04661 Martin Millender Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Martin Millender, hereinafter referred to as "Claimant'*: Douglas H. Glicken, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04653 A.G. Edwards & Sons, Inc., Claimant v. Thomas James Incorvia, Sr., Respondent ATTORNEYS: For Claimant A.G. Edwards & Sons, Inc. ("Claimant") appeared Michael Naccarato, Esq., in- house counsel, A-G, Edwards & Sons, Inc., St. Louis, MO. Respondent Thomas James Incorvia, Sr. ("Respondent") appeared pro se t Houston, TX. NATURE OF DISPUTE: Member v. Associated Person. DATE FIL

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04651 Angel-Lynn Jolivette, and Angel-Lynn Jolivette, as Custodian for James Douglas Wise Cody Allen Wise, and Jesse Alexander Wise, Claimants v. Morgan Stanley DW, Inc. and Rodney Halverson, Respondents ATTORNEYS: Claimants Angel-Lynn Jolivette, and Angel-Lynn Jolivette, as Custodian for James Douglas Wise Cody Allen Wise, and Jesse Alexander Wise (collectively "Claimants") appeared pro se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernard D. Spangler and Vivian N. Spangler, Claimants v. Wells Fargo Securities Inc. and Wells Fargo Investments, LLC, Respondents Case Number: 04-04639 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members REPRESENTATION OF PARTIES For Claimant: Thomas E. Elenbaas, Esq. Law Offices of Thomas E. Elenbaas Fullerton, California For Respondent: T

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC and Case Number: 04-04623 Hearing Site: Chicago, Illinois Respondents Burnis T. Brown and Lisa H. Edelman NATURE OF DISPUTE Member v. Associated Persons. REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC , ("Claimant"), or, ("Wachovia"), was represented by Ronald Kane, Esq., of Kane & Fischer, Ltd., located in Chica

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gordon McKinley, Jr. and Willie L. McKinley, As Co-Trustees of the Willie L. McKinley Revocable Trust vs. Case Number: 04-04621 Hearing Site: Houston, Texas Names of Respondents Prudential Equity Group, LLC, Merrill Lynch Pierce Fenner & Smith, Inc., Robert Scott Jones and Cindy Lynn Zuber NATURE OF DISPUTE Customers v. Member Fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Alexandra J. Ades Hassan A. Khazem Names of the Respondents Prudential Insurance Company of America, d/b/a Prudential Financial, Pruco Securities, LLC f/k/a Pruco Securities Corporation Cheryl Borek Sara Dwyer Case Number: 04-04612 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member and Associated P