AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charles M. and Anita Hill and Names of Respondents ABN AMRO Financial Services, Inc., William Mark Buchband, and LaSalle Financial Services, Inc. Case Number: 04-04507 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customers v. Member Firm, Associated Person and Non-Member REPRESENTATION OF PARTIES Charles M. and Anita Hill ("Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04495 Richard D. Teichgraeber and Viki I. Teichgraeber, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimants Richard D. Teichgraeber and Viki I. Teichgraeber (collectively "Claimants") appeared Robert Blanchard, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL, and J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04481 Wachovia Securities, LLC Name of the Respondent Hearing Site: Orlando, Florida Kenneth Moyer Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. Kenneth Moyer,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04443 Thomas J. and Emelia Weidner Names nf the Respondents Hearing Site: Philadelphia, PA Securities America, Inc. David Biffen Nature of the Dispute: Customers vs. Member and Associated Person KF.PRFSKIVTATTON OF PARTIES Claimants, Thomas J. and Emelia Weidner, hereinafter collectively referred to as "Claimants", were represented

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gerald Richter Gerald Richter UND IRA Account Norma Richter Richter Homes Bedford Square Apartments Nomia Richter UND IRA Account Daniel R. Yashinsky UND MI UNIF GTMA Amy Beth Yashinsky UND MI UNIF GTMA Names of the Respondents Fahnestock & Co., Inc. n/k/a Oppenheimer & Co., Inc. Lee Hartzmark Bruce Hartzmark Case

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Claimant f!asft Number 04-04413 i Gregory Electric Company, Inc. Names nf the Respondents Hearing Site: Charlotte, North Carolina American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Barry Keith Gray, Seaboard Securities, Inc. and Eduardo Gerena Nature of the Dispute: Customer vs. Members and Associated Persons. RRPRRSFNTATTON OF PA

Award NASD Dispute Resolution In the Matter of the Arbitration Between^ Mr. Stanley and Mrs. Denise Rubens, Husband and Wife, (Claimants) v. Morgan Stanley DW, Inc., Darlene J. Palmer, and John Doe (Respondents) Case Number: 04-04408 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Mr. Stanley Rubens ("S. Rubens") and Mrs. Denise Rubens ("D. Rubens"), hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 01-00180 Daniel M. Berger Names of the Respondents Hearing Site: Pittsburgh, PA William G. Brown Russo Securities, Inc. The Estate of Ferdinand Russo Richard A. Russo KF.PKFSFNTATTON OF PARTIES Claimant, Daniel M. Berger, hereinafter referred to as "Claimant", was represented by Stanley M. Stein, Esq., Feldstein Brinberg Stein & McKe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Charlene D. Ford, TTEE, Charlene D. Ford Trust U/D DTD 6-21-87 and Respondents A.G. Edwards & Sons, Inc., and Richard John Orzechowski Case Number: 04-04399 Hearing Site: Troy, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Charlene D. Ford, TTEE, Charlene D. Ford Trust U/D DTD 6-21-87 ("Claimant") wa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Susan Avellino v. Prudential Securities, Inc. and Scott Hansen Case Number: 04-04388 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Susan Avellino hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, New York. Respondents Prudential Equity Group, LLC file/a Prudential