AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joanne Montgomery Moore, Sherry Montgomery Semrad, Individually and as Co-Executors of The Estate of William S. Montgomery and Case Number: 05-03586 Hearing Site; Houston, Texas Names of Respondents Prudential Equity Group, Wachovia Securities, LLC, Wachovia Securities Financial Network Prudential Financial, Inc., Wachovia Corporation and Ed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benson York Group (Claimant) vs. Christopher D. Driscoll (Respondent) Case Number: 05-03581 Hearing Site: New York City, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Benson York Group hereinafter referred to as "Claimant": John J. Conroy, Benson York Group, New York, NY. Respondent Christopher D. Driscoll hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abdul Afhdi (Claimant) vs. Morgan Stanley Dean Witter, Inc. (Respondent) Case Number: 05-03580 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Abdul Arridi hereinafter referred to as "Claimant"; G. Alexander Novak, Esq., Novak, Juhase & Stem, LLP, Cedarhurst, NY. Respondent Morgan Stanley Dean Witter, Inc. hereinaft

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03570 A. Elaine Joyce Trust, (Claimant) vs. Waddell & Reed, Inc., (Respondent) ATTORNEYS: For Claimant appeared Rodney L. Joyce, Chevy Chase, MD. For Respondent appeared Carrie J. Bechtold, Esq. of the firm Blackwell Sanders Peper Martin LLP, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 11, 2005 CASE SUMMARY: Claimant alleged that Respondent placed her in in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry J. Korfhage (Claimant) vs. Scottrade, Inc. (Respondent) Case Number: 05-03552 Hearing Site: Louisville, Kentucky Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Larry J. Korfhage hereinafter referred to as "Claimant" appeared pro-se. Respondent Scottrade, Inc. hereinafter referred to as "Respondent": Andrew C. Small, Esq., Scottrade, Inc., St

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00591 Norman Jacobs, claimant vs. Cambridge Capital Corp., John Messina, Wexford Clearing Services Corp., Thomas M. Rossi, respondents. ATTORNEYS: For Claimant appeared Brian Reis, Esq., New York, NY. For Respondent Wexford Clearing Services Corp. appeared Joseph Dolcimascolo, First Vice- President and Associate General Counsel of Prudential Securities, Inc., New York, NY. Responden

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: M.L. Stern & Co., LLC., Claimant v. Jay M. Kim, Respondent Case Number: 05-03538 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: James R. Ballard, Esq. Schwartz Semerdjian Haile Ballard & Cauley, LLP San Diego, California For Respondent: Jay M. Kim ProSe Las Vegas, Nevada CASE INF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03509 Maureen M. Toon, Individually and as Trustee for the Maureen M. Toon Trust Name of the Respondent Hearing Site: Tampa, Florida PNC Brokerage Corp. Nature of the Dispute; Customer vs. Member. REPRESENTATION OF PARTIES For Maureen M. Toon, Individually and as Trustee for the Maureen M. Toon Trust, hereinafter referred to as "C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03502 Bane of America Investment Services, Inc., (Claimant) vs. David A. Jones, (Respondent) ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 7, 2005 CASE SUMMARY: Claimant alleged that Respondent has failed

10/22/2005 17:14 " . --»"- - MSTABILE PAGE 02 .... *..,«..... ...:*.. — ~ - Ttnau^iJij.un rwuc. o^: Award NASD Dispute Resolution In the Matter gf the Arbitration Between: ; 05-03468 Gwendolyn and Robert Faulk Name ^*k» ttp^nrtH^nt Hpnring sj*R! Pittsburgh, Pcfnwyl Financial Investment Analysts, Itic. Nature of the Dispute: Customers vs. Member. ^ PAHTTFS Claimants, Gwendolyn and Robert Faulk > hereinafter collectively refenfcd to as ''Claim