Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06509 Carole Bebout, individually, as Trustee/Beneficiary of the Carole Bebout IRA Rollover Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Carole Bebout, individually, as Trustee/Beneficiary of the Carole Bebout IRA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Voskoboynik (Claimant) vs. Wachovia Capital Markets, LLC (Respondent) Case Number: 05-05820 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Henry Voskoboynik, hereinafter referred to as ("Claimant"): Eva H. Posman, Esq., Law Office of Eva Posman, New York, NY. Respondent Wachovia Capital Markets, LLC,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) vs. Adam R. Ayers (Respondent) Case Number: 05-05625 Hearing Site: Columbus, Ohio Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc. hereinafter referred to as "Claimant": Jeffrey P. Newman, Esq., Davidson & Grannum, LLP, Orangeburg, NY. Respondent Adam R. Ayers hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cari Lehman Grodner (Claimant) vs. First New York Securities L.L.C. (Respondent) Case Number: 05-05431 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Cari Lehman Grodner hereinafter referred to as "Claimant": Donald A. Derfner, Esq. and David P. Gillett, Esq., Derfner & Gillett, LLP, New York, NY. Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, LLC, Claimant v. Raymond C. Wu, Respondent Case Number: 05-05207 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: David W. Schmidt, Esq. Lubiner & Schmidt Cranford, New Jersey For Respondent: Raymond C. Wu Arcadia, California No Appearance CASE INFORMATION

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John D. Carter, Jerry W. Munday, and Stephen A. Smith vs. Names of Respondents A.G. Edwards & Sons, Inc. and Byron Lee Holley Case Number: 05-04490 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES John D. Carter, Jerry W. Munday, and Stephen A. Smith, hereinafter col

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03723 Terry A. Messner Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW Inc. William Messner Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Terry A. Messner, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Silver, LLP, Coral Spring

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ted Cohen (Claimant) v. Millennium Securities Corp., Jerry Markowitz, Richard Sitomer, Todd Rome, and RPR Correspondent Services n/k/a Dain Correspondent Services (Respondents) Case Number: 01-02380 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Ted Cohen ("Cohen") hereinafter referred to as "C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paragon Capital Markets, Inc., (Claimant) vs. Lawrence R. Kobren, (Respondent) Case Number: 00-00834 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Paragon Capital Markets, Inc., hereinafter referred to as "Claimant"; David S. Smith, Esq., Smith Campbell & Paduano, New York, NY. Previously represented by: Michele Wessel, Director, Paragon Capital Markets,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rebecca L. Johnson vs. John Coble and Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Ameriprise Financial Services, Inc. Case Number: 05-03232 Hearing Site: Charlotte, NC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Rebecca L. Johnson hereinafter referred to as "Claimant", was represented by Louis L. Lesesne, J