Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Igor Tsiperfal Case No. 00-01040 Name of Respondent Ohio Savings Securities,Inc. d/b/a Amtrust Investment Services and Amtrust Securities Name of Third-Party Respondent Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For Igor Tsiperfal, hereinafter referred to as "Claimant", and Third-Party Respondent Salomon Smith Barney, Inc. ("SSB"): L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: American Society of Ephesus (Claimant) v. A.G. Edwards & Sons Inc., (Respondent) Case Number: 04-07367 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant American Society of Ephesus hereinafter referred to as "Claimant": Joseph J. Dehner, Esq., Frost Brown Todd LLC, Cincinnati, OH. Previously represented by Jack F. Fuchs, Esq.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ann D. Gill, Trustee for the Gill Family Trust n/k/a Julia L. Gill Trust, Julia Gill Life Insurance Trust and the Ann Deaderick Gill Trust n/k/a Julia Lipscomb Gill Trust and Case Number: 04-06773 Hearing Site: Houston, Texas Names of Respondents Morgan Keegan & Company, Inc., Sumeet Rai and George H. Arnold NATURE OF DISPUTE Customer v. Membe

NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Mattes, Claimant v. Morgan Stanley Dean Witter n/k/a Morgan Stanley DW Inc. and Alan Mann, Respondents Case Number: 04-06771 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. James A. Sigler Attorneys at Law Los Angeles, California For Respondents: Todd E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry Brown, Claimant v. Prudential Equity Group, LLC and Stephen B. Turner, Respondents Case Number: 04-06743 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jules L. Federman Personal Representative Santa Barbara, California For Respondents: Jeffrey E. Glen, Esq. Anderson, Kil

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Peter C. Jarnberg v. 04-06349 Minneapolis, Minnesota Respondents Citigroup Global Markets, Inc. and Jameson J. Viljaste Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Peter C. Jarnberg ("Claimant") was represented by Susan F. Bullard, Esq., of London & Bullard, PLLC, Minneapolis, Minnesota. Citigroup Global Marke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Wachovia Securities, Inc. (n/k/a Wachovia Securities, LLC), Kent R. Elliott, Matthew H. Schmitt, and Diana M. Sanchez, Respondents Wachovia Securities, Inc. (n/k/a Wachovia Securities, LLC), Kent R. Elliott, Matthew H. Schmitt, and Diana M. Sanchez, Counter-Claimants v. Wells Fargo Investments, LLC, Counter- Respondent Wachovia Securities, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Walter F. and Paulina M. Sulewski and Names of Respondents Sll Investments, Inc., 'A'ciiren Jack Berg ana Warren J. Berg & Associates Case Number: 04-06027 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customers v. Member Firm, Associated Person and Non-Member REPRESENTATION OF PARTIES Walter F. and Paulina M. Sulewski ("Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-05773 Robert L. and Patricia F. Oliver Name of the Respondents Hearing Site: Dallas, Texas. Intersecurities, Inc.; Gregory James Hilderbrand; and, Peter Even Dahlstrom NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimants Robert L. and Patricia F. Oliver, hereinafter referred to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Thomas Y. Kim v. 04-05405 Denver, Colorado Respondents CUSO Financial Services, L.P., Bellco Credit Union and Bellco First Financial Services, Inc. NATURE OF DISPUTE Associated Person v. Member and Non-Members REPRESENTATION OF PARTIES Thomas Y. Kim ("Claimant") was represented by Ethan A. Brecher, Esq., of Liddle & Robinson, L.L.P., New York, New