Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tony L. Bevin, Claimant v. Guardian Investor Services LLC, Park Avenue Securities LLC, Guardian Life Insurance Co. of America, Georgia L. Gaidula, Timothy A. Kime, Maria L. Burley, Michael D. Fleming, Stephen J. Buell, Warren P. Hoppe, Neil A. Willner, Henry V. Terrell, and Peter M. Sinibaldi, Respondents Case Number: 05-00845 Hearing Site: Los Angeles, California Nature of the Disp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Van Der Wall and Diane Van Der Wall (Claimants) v. Salomon Smith Barney, Inc., and Ken Hirsch (Respondents) Case Number: 04-05162 Hearing Site: Elizabeth, New Jersey ^j ._ Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Harold Van Der Wall and Diane Van Der Wall hereinafter collectively referred to as "Claimant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David L and Robert L. Hughes and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Shannon Marie Clifford, Safeco Insurance Company, and Marjorie Brown Hughes Case Number: 04-05161 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm, Associated Person, and Non-Members REPRESENTATION OF PARTIES David

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-05156 Ronald Grossman, IRA . . and Ronald Grossman and Barbara Grossman, Trustees of the Atlas Press Retirement Trust Names of the Respondents Hearing Site: Boston, MA Morgan Stanley DW Inc. and Bradley Goldfarb REPRESENTATION OF THE PARTIES For Ronald Grossman, IRA and Ronald and Barbara Grossman as trustees and/or be

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant F. Kirby Newburger Name of the Respondent Legg Mason Wood Walker, Inc. Case Number: 04-05151 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For F. Kirby Newburger, hereinafter referred to as "Claimant": Benjamin R. Slater, HI, Esq., Lemle & Kelleher, L.L.P., New Orleans, Louisian

Stipulated Award NASD In the Matter of the Arbitration Between Annette Perri, Zinghera Realty Corp. and Jo-Ern Realty Corp. (Claimants v. Donaldson, Lufkin & Jenrette Securities Corp. and Timothy I. Low (Respondents) v. Joseph Perri (Third-Party Respondent) Case Number: 01-01788 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Annette Perri, Zinghera Realty Corp. and Jo-Em Realty Corp. ("Claimants") were represented by David Robb

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Deborah Stovall and 04-05150 Kansas City, Missouri Name of Respondents Prudential Equity Group, LLC UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. William T. Keen Christopher L. Walker Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Deborah Stovall ("Claimant") was represented by Diane A. N

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC v. 04-05148 Minneapolis, Minnesota Respondent Thomas J. Park NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimanf *) was represented by Diane C. Fischer, Esq., of Kane & Fischer, LTD, Chicago, Illinois. Thomas J. Park ("Park"), hereinafter referred to as "R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Penny L. and Robert E. Bellinger, Lynda M. Arnold and Daniel Arnold Name of the Respondents David M. Rieck and Sll Investments, Inc. Case Number: 04-05147 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customers vs. Associated Person and Member Firm REPRESENTATION OF PARTIES Claimants, Penny L. and Robert E. Bellinger (the "Bellingers"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05143 Joyce L. Weber Living Trust Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., file/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joyce L. Weber Living Trust, hereinafter referred to as "Claimant": D