NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 04-08192 Prudential Equity Group, LLC and Duane R. Raybum (Claimants) v. Shelley Muffley (Respondent) ATTORNEYS: For Claimants Prudential Equity Group, Inc. and Duane R. Rayburn (collectively "Claimants") appeared Douglas R. Jennings, Esq., of the firm Carlile Patchen & Murphy, LLP, Columbus, OH. For Respondent Shelley Muffley ("Respondent") appeared Thomas L. Adgate, Esq., Akron

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08188 Joseph Bonacci (Claimant) v. First Hudson Financial Group, Inc., National Securities Corp., and Brian Galicki (Respondents) ATTORNEYS: Claimant Joseph Bonacci ("Claimant") appeared pro se, Slingerlands, NY. For Respondent First Hudson Financial Group, Inc. appeared Michael Simon, First Hudson Financial Group, Inc., New York, NY. For Respondent National Securities Corp. appeared And

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Ehrenspeck, Ronald Kilbride, Joseph Digiso, and Joseph Sangiorgio, (Claimants) vs. Dean Petkanas, Briarwood Investment Counsel, Frank Fackovec, Michael Kooyman, Thomas Mangione, Wintrade, Inc., and Roy Bouchier, (Respondents) Case Number: 01-00374 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Robert Ehrenspeck ("Ehrenspeck"), Ronald Kilbride ("Kilbride"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Apryl A. Thompson, Claimant v. Centaurus Financial, Inc., Respondent Case Number: 04-08184 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Michael White, Esq. Kelegian White & Reed LLP Los Angeles, California For Respondent: Dave Lenny, Esq. Law Office of Dave Lenny Glendale, California

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CAST?: 04-08183 James L. Mynes, (Claimant) vs. Merrill Lynch, Pierce, Fenncr & Smith, Inc. und Jeffrey D. Summerford, (Respondents) ATTORNEYS: For Claimant appeared Richard S. Frankowski of the firm Whatley Drake, LLC, Birmingham, AL For Respondents appeared Mclinda J. Lucas, Esq. of the firm Maynard, Cooper & Gale, P.C,, Birmingham, AL. NATURE OF DISPUTE: Customer v. Member and Associated Pe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08180 Ping Ming Teng and Shu Hsien Kuo Teng (Claimants) v. Finance 500, Inc. (Respondent) ATTORNEYS: For Claimants Ping Ming Teng and Shu Hsien Kuo Teng (collectively "Claimants") appeared Fred L. Valentine, Jr., Esq., of the Law Offices of Fred L. Valentine, Jr., Ontario CA. For Respondent Finance 500, Inc. ("Respondent") appeared James R. Duncan, Esq., of the Law Offices of James R. Duncan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08178 The Social Ladies Investment Club (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. (Respondent) ATTORNEYS: For Claimant The Social Ladies Investment Club ("Claimant") appeared Jan Graham, Esq., of the Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") appeared A. Jami

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08162 Rosemary M. Smith IRA and Edward F. Smith, Jr. IRA (Claimants) v. Royal Alliance Associates, Inc. (Respondent) ATTORNEYS: Claimants Rosemary M. Smith IRA and Edward F. Smith, Jr. IRA (collectively "Claimants") appeared pro se through Edward F. Smith, Jr., Lake Arrowhead, CA. For Respondent Royal Alliance Associates, Inc. ("Respondent") appeared Gregory M. Curley, Esq., Associate Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Gerard Walsh (Claimant) v. First Union Brokerage Services, LLC n/k/a Wachovia Securities, LLC (Respondent) Case Number: 04-08161 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Estate of Gerard Walsh ("Walsh") hereinafter referred to as "Claimant": Harry V. Osborne, II, Esq., Evans, Osbome & Kreizman, LLC,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen A. Genna (Claimant) vs. S.W, Bach & Company, Michael Gogliucci, Berton Seltzberg and Daniel Otoya (Respondents) Case Number: 04-08160 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Stephen A. Genna hereinafter referred to as "Claimant": Appeared pro se. Previously represente