Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Janis Arena Joanne Eichorn William Eichorn HI Name of the Respondent Prudential Securities Incorporated n/k/a Wachovia Securities Case Number: 03-08251 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Janis Arena, Joanne Eichorn, and William Eichorn III, hereinafter collectively

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael T. Holmdale Special Needs Trust, Claimant v. Prudential Equity Group, LLC, First Union Securities, Inc. (n/k/a Wachovia Securities, LLC), D.A. Davidson & Co., and James K. Richards, Respondents Case Number: 03-08246 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant Michael

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08242 Wachovia Securities, LLC, Claimant v. Drew Gutman, Respondent. ATTORNEYS: For Claimant, Wachovia Securities, LLC, ("Claimant"), appeared their in-house counsel Douglas D. Callaway, Richmond, VA. For Respondent, Drew Gutman, ("Respondent"), appeared David M. Levy, P.C., of the Law Offices of Levy & Boonshoft, P.C., New York, NY. NATURE OF DISPUTE: Member v. Associated Person DAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mary Jo Au Rogers, individually, and as beneficiary of the Mary Jo Au Rogers Irrevocable Living Trust Name of the Respondent Asset Management Securities Corp. Case Number: 03-08234 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Mary Jo Au Rogers, individual

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08233 Herbert Wormser, TTEE Barbara Ilsemann Wormser, TTEE FBO Herbert Wormser FBO Barbara Ilsemann Wormser Name of the Respondent Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Herbert Wormser,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08227 Wachovia Securities, LLC, Claimant v. Joshua S. Suter, Respondent. ATTORNEYS: For Claimant, Wachovia Securities, LLC, ("Claimant"), appeared their in-house counsel, Douglas D. Callaway, Esq., Richmond, VA. For Respondent, Joshua S. Suter, ("Respondent"), appeared Daniel L. Levin, Esq., of the firm Levin & Weiser LLC, Denver, CO. NATURE OF DISPUTE: Member v. Associated Person DA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia J. Ford, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Tracy R. Turner, and Robert H. Gunning, Respondents Case Number: 03-08220 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: David J. St. Louis, Esq. Law Offices of David J. St. Louis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul E. Carlson and Ruthann Brenteson Neilson, as Personal Representative of the Estate of Ceceille Carlson, Claimant, v. William M. Huttula and National Securities Corporation, Respondents. Case Number: 00-01650 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES For Claimant: Keith A. Kemper, Esq. G. ELLIS, LI & McKINSTRY PLLC Seattle, Washington For Res

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants J. Glen Jensen and Elaine Jensen and Case Number: 03-08219 Hearing Site: Milwaukee, Wisconsin Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and Elvin Rawlins and Joan E. Rothberg NATURE OF DISPUTE Customer v. Member Firm and Associated Person. REPRESENTATION OF PARTIES j. Glen Jensen and Elaine Jensen ("Claimants") were represe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sacha Wigdorovits (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-08214 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Sacha Wigdorovits hereinafter referred to as "Claimant": Justin Y. K. Chu, Esq., Pollack & Kaminsky, New York, NY. Respondent Merrill Lynch, Pierce, Fenner & Sm