Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01943 Barbara H. Booker Names of the Respondents Hearing Site: New Orleans, LA Morgan Stanley DW, Inc. Sarie Nerine Joubert-Durr Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara H. Booker, hereinafter referred to as "Claimant": W. Michael Cady, Esq., Cady & Cady, Round Rock, TX.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Donald P. Carner Names of the Respondents First Union Brokerage Services, Inc. n/k/a Wachovia Securities, LLC Duane Lasher Charles Gillingham Case Number: 04-01937 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Donald P. Carner, hereinafter referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01936 Edith R.Thomas Names of the Respondents Hearing Site: Atlanta, Georgia Edward Jones and Doug Shaw, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edith R. Thomas, hereinafter referred to as "Claimant": William J. Gladden, Esq., Savannah, Georgia. For Edward Jones ("Edward Jone

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Les O. Starnes, Sally Starnes, and the Starnes Family Trust, Claimants v. Wachovia Securities, LLC #k/a Wachovia Securities, Inc. f/k/a. First Union Securities, Inc., Wachovia Securities Financial Network, LLC, George Herve Blais, Jr., George H. Blais, III, David Albert Boyer, and James E. Thomas, Jr., Respondents Case Number: 04-01932 Hearing Site: Los Angeles, California Nature of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Geraldine Wales, Claimant v. Prudential Equity Group, LLC (f/k/a Prudential Securities, Inc.), Gloria Liebig (a/k/a Gloria Riggio), and Christopher Coloracci, Respondents , • Case Number: 04-01930 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES , < , i For Claimant: Timothy A. Canning, Esq. Novato,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Levanger, Claimant v. Brookstreet Securities Corporation, Richard L. Brown and Anthony Costanzo, Respondents Case Number: 04-01925 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Stephen M. Hansen, Esq. Lowenberg, Lopez, & Hanson, P.S. Tacoma, Washington Celeste Chiamonte, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James S. McClellan, Jr., Claimant v. Wachovia Corporation and Wachovia Securities, LLC, Respondents Case Number- 04-01920 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Associated Person v. Member Firm and Non-Member Firm Claimant, James S. McClellan, Jr. ("McClellan"), hereinafter referred to as "Claimant": David B. Helms, Esq. of the law fir

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants, F. Richard Tyner and Stuart Arkin and Respondents, All-Tech Direct, Inc., a/k/a All Tech Investment Group, Inc. Jeffrey Rosen, and Steven Plotnik. Case Number: 00-05753 Hearing Location: Southfield, Michigan REPRESENTATION OF PARTIES F. Richard Tyner ("Tyner") and Stuart Arkin ("Arkin"), hereinafter referred to as "Claimants" were represented by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Debra M. Bacon and Name of Respondent / Third Party Claimant Citigroup Global Markets, Inc. and Names of Third Party Respondents Randall W. Bacon, and Allison & Drew, Inc. Case Number: 04-01917 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm v. Customer and Non-Member REPRESENTATION OF PARTIES Debra M. Bacon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narnfi of thp Claimant Case Number: 04-01915 John I. Izuchukwu Name of the Respondent Hearing Site: St. Louis, Missouri Merrill Lynch, Pierce, Fenner& Smith, Inc. Customer vs. Member Firm PARTIES Albert S. Watkins, Esq. of the law firm Kodner, Watkins, Muchnick, Dunne & Weigley, located in St. Louis, Missouri represented Claimant, John I. Izuchukwu ("Izuchukwu"), hereinafter