Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mr. Jaime Ros & Mrs. Ofelia Caldeyro & Mrs. Maria 0. Ros & Mrs. Maria L. Ros & Mrs. Patricia Caldeyro, Jt. Ten. Names of the Respondents Prudential Financial, Inc., d/b/a Prudential Securities Group, Inc., and Prudential Equity Group, Inc. Case Number: 04-06645 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member.

Award NAS.D Dispute Resolution, Inc. In the Matter of the Arbitration Between: Timothy Lucarelli, (Claimant) v. Peregrine Financials & Securities, Inc. and Peregrine Financial Group, Inc., (Respondents) Case Number: 01-00296 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Timothy Lucarelli ("Lucarelli") was pro se. Respondent Peregrine Financials & Securities, Inc. ("Peregrine")and Peregrine Financial Group, Inc. ("Peregrine G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Keith McNeal and Janette McNeal and Names of Respondents Morgan Stanley DW, Inc. and John Bryan Johnson, III Case Number: 04-06633 Hearing Site: Oklahoma City, Oklahoma NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Keith McNeal and Janette McNeal ("Claimants") were represented by Vincent J. Imbesi,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06623 First Montauk Securities Corp., Claimant v. Craig Dima, Respondent ATTORNEYS: For Claimant First Montauk Securities Corp. ("Claimant") appeared Michael S. Colombo, President, Streerwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Craig Dima ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: Septemb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Investec (US) Incorporated f/k/a Investec Ernst & Co. (Claimant) v. William Julian (Respondent) Case Number: 04-06614 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Investec (US) Incorporated f/k/a Investec Ernst & Co. ("Investec") hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmid

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06613 Regar Mickler Name of the Respondent Hearing Site: Tampa, Florida Prudential Financial Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Regar Mickler, hereinafter referred to as "Claimant", appeared pro se. For Prudential Financial Incorporated, hereinafter referred to as "Respondent": Jose

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacqueline Connerty-Pierre (Claimant) v. Merrill Lynch, Pierce, Fenner, & Smith Incorporated (Respondent) Case Number: 04-06595 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Jacqueline Connerty-Pierre hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carmen N. Capri (Claimant) v. PNC Divestments (Respondent) Case Number: 04-06594 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Carmen N. Capri hereinafter referred to as "Claimant": James D. Hamilton, Jr., Esq., Dubois, Sheehan, Hamilton & Levin, LLC, Camden, NJ. Respondent PNC Investments hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Magda Herzog (Claimant) vs. Peter Bisgeier, Prudential Securities Inc., n/k/a Prudential Equity Group, LLC, Prudential Financial and Wachovia Securities, LLC (Respondents) Case Number: 04-06571 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Members REPRESENTATION OF PARTIES Claimant Magda Herzog ("Herzog") hereinafter referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irving F. Boekelheide and Priscilla D. Boekelheide, individually and as Trustees fbo Boekelheide Family 1987 Revocable Trust U/A/D 6/4/87, Claimants v. Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney, Inc.), Respondent Case Number: 04-06568 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Val D