NAS0 DISPUTE RESOLUTION AWARP NASP DISPUTE RESOLUTION CASE: tW-05743 Michael Fedenco, Cynthia Federico, aod Darle&e Federico (Claimants) v. Wachovia Securities, LLC and Tom Morrison (Respondents) ATTORNEYS; Claimant* Michael Fededco, Cynthia Federico, and Dartoe Federico (collectively "'Claimants") appeared prose through Cynthia Federico, Smi&towu, NY, For Respondents Wachovia Securities, IXC and Tons Morrison (coilcctively "Respondents 11 )

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Darlene A. Schwartz Names of the Respondents Wachovia Securities, LLC Prudential Securities Inc. d/b/a Prudential Equity Group, LLC Case Number: 04-05726 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Darlene A. Schwartz, hereinafter referred to as "Claimant": Philip J. Snyderburn, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05725 Wachovia Securities, LLC Name of the Respondent Hearing Site: Atlanta, Georgia Frederick L. Bryant Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. For Fr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lon Roth and Peggy Roth, (Claimants) v. JP Turner & Company, LLC, John Barone and Rushdi Zalatimo, (Respondents) Case Number: 04-05706 Hearing Site: Dallas, Texas Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Lon Roth ("Mr. Roth") and Peggy Roth ("Mrs. Roth"): Brian Guillorn, Esquire, New York, New York. Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard S. Brehnan, Leslie S. Breiman, The Breiman Family Trust, East Bay Medical Imaging Associates & Medical Group, Inc. DBPP fbo Richard S. Breiman, Richard Breiman IRA Rollover and David Stamm IRA (deceased) fbo Leslie Breiman, Claimants v. Round Hill Securities, Inc., Hotovec, Pomeranz & Co., Inc., Louis J. Bacher, Jr., Robert J. Holub, Robert S. Minka, Gerald H. Burchard, Jr., and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05690 Sylvia Purisch Arthur Purisch Ttee FBO Sylvia Purisch Rev Trust Arthur Purisch, IRA Arthur Purisch Ttee FBO Arthur and Neil Purisch Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Perso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name'nf the Claimant Gary Hooper IRA Names nf the Respond ants Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. JackB. Grubman Case Number- 04-05674 aring Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSFNTATTON OF PARTTF.S Claimant, Gary Hooper IRA, hereinafter referred to as "Claimant", was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp nf the PlaiTTiant Pase Niimhffr 04-05665 Nancy R. Witzel Name nf the Respondent Hearing Site: Philadelphia, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Nancy R. Witzel, hereinafter referred to as "Claimant", was not represented by counsel. Respondent, Salomon S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gwendolyn Cruchon, Claimant v. Securities America, Inc. and Mark Alexander Taylor, dba Winthrop Taylor Asset Management, Respondents Case Number: 04-05654 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, Califor

Stipulated Award NASD Dispute Resolution In the Matter of the Consolidated Case entitled "Drolson/National Planning Corporation'*: Consolidated Case Number: 04-05653 Hearing Site: San Diego, California Paul E. Drolson, Claimant v. National Planning Corporation, Respondent Case Number: 04-05653 Nature of the Dispute: Associated Person v. Member National Planning Corporation, Claimant v. Paul E. Drolson, Respondent Case Number: 04-05802 Nature of the