Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06434 Morgan Keegan & Company, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Larry S. Rule, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Shea O'Brien Hicks. Esq., Vice President and Associate Attorney, Morgan Kee

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Elaine A. Medley, Dina A. Medley, Donna Ullrich, and Debra A. Medley vs. Case Number: 05-05615 Hearing Site: Houston, Texas Names of Respondents UBS Financial Services, Inc. and Elizabeth Anne Rinehimer NATURE OF THE DISPUTE Customers vs. Member and Non-Member REPRESENTATION OF PARTIES Elaine A. Medley was represented by Randall

Award NASD Dispute Resolution »' In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05346 Cheryl Frank Names of the Respondents Hearing Site: Philadelphia, Pennsylvania Wachovia Securities, LLC Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant, Cheryl Frank, hereinafter referred to as "Claimant", was represented by John J. McGovem, Jr., Esq., Attorney at L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Vernon J. Reichmuth vs. Names of Respondents Primevest Financial Services, Inc., Guaranty Brokerage Services, Inc., f/k/a BISYS Brokerage Services, Inc., f/k/a Corelink Financial, Inc., Louis W. Pofahl, Investment One, Inc., First National Bank of Omaha, and First National Bank of Norfolk Case Number: 05-05158 Hearing Location: Omaha,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daryl Hagler and Meryl Hagler (Claimants) v. Prudential Securities Incorporated nka Prudential Equity Group, LLC, and William Roth (Respondents) Case Number: 05-05150 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Daryl Hagler and Meryl Hagler hereinafter collectively referred to as "Claiman

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Prudential Equity Group, LLC vs. Case Number: 05-04823 Hearing Site: Dallas, Texas Name of Respondent John P. Murley NATURE OF THE DISPUTE Member Firm vs. Associated Person REPRESENTATION OF PARTIES Prudential Equity Group, LLC ("Claimant") was represented by John E. Jenkins, Esq. of the firm of Lubiner & Schmidt, located in Cranford, New Jersey.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Holdings Inc. (Claimant) v. Richard N. Blackwood (Respondent) Case Number: 05-04803 Hearing Site: Boston, Massachusetts Nature of the Dispute: Non-Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Holdings, Inc. hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Cranford, NJ. Resp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Sundaram Swetharanyam, Trustee of the Swetharanyam Living Trust of 1993 and Respondent TD Waterhouse Investor Services Case Number: 01-02399 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Swetharam Swetharanyam, Trustee of the Swetharanyam Living Trust of 1993 hereinafter referred to as "Claimant": Thomas Allen Filo, Esq., of Cox, Cox, Filo &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Thomas Farrow vs. Case Number: 05-04677 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and David George Pollock NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Robert Thomas Farrow ("Claimant") was represented by Frank V. Ghiselli, Esq., Houston, Tex

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04603 Wachovia Securities, LLC Name of the Respondent Hearing Site: Norfolk, Virginia William Jeffrey Reagan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Jonathan E. Levine, Esq., Law Office of Daniel S