Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wanda B. Roper Name of the Respondent A.G. Edwards & Sons, Inc. Case Number: 04-01739 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wanda B. Roper, hereinafter referred to as "Claimant": Raymond G. Prince, Esq., Prince & Bellinger, P.C., Nashville, Tennessee. For A.G. Edwards & Sons,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jennifer M. Hieber and William J. Holbrook (Claimants) v. Avalon Partners, Inc. and Vincent Au (Respondents) Case Number: 04-01731 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jennifer M. Hieber ("Hieber") and William J. Holbrook ("Holbrook") hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nnmft< i nf the PlnimflntH , The Karl D'Amico Revocable Trust Karl D'Amico Mary D'Amico Joseph J. D'Amico Megan M. D'Amico indents Narnes_Qf theJR First Union Securities, Inc. Wachovia Securities, LLC Susan W. Johnson William D. Milcham First Union Investment Corporation f 04-01727 Hearing Sfrer Charlotte, North Carolina Nature of the Dispute

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Frank and Barbara Kellch, Kellch Family Trust, and Larae C. Kellch Trust and 04-01714 Phoenix, Arizona Name of Respondents Wells Fargo Investments, LLC Gregg Novotny Charles Elliott Gibbs, Jr. Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Frank and Barbara Kellch, Kellch Family Trust,

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Catherine Helgeson and Chris Helgeson, Claimant, v. Bear Stearns Securities Corporation, National Securities Corporation, Matt Ward, The Ward Group, Maxwell Capital, Inc. and Does 1 to 10, respondents. Case Number: 00-05725 Hearing Site: NA REPRESENTATION OF PARTIES For Claimants, Catherine and Chris Helgeson: Mark Martel, Esq. Palo Alto, California For Respondents,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Harry J. Siwkowski and Judith A. Siwkowski vs. 04-01711 Chicago, Illinois Name of Respondents Jeffery Bobrowicz and Morgan Stanley Dean Witter Inc. Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Harry J. Siwkowski and Judith A. Siwkowski ("Claimants") were represented by Edna Selan Epstein, Esq. of Law off

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01698 Howard Lynn Wisdom and Howard Lynn Wisdom Money Purchase Pension Trust, Predecessor of Howard Lynn Wisdom IRA Rollover, Claimants vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Robin R. Pierce, and Jack B. Grubman, Respondents ATTORNEYS: Claimants Howard Lynn Wisdom and Howard Lynn Wisdom Money Purchase Pension Trust, Predecessor of Howard Lynn Wisdom IRA Rollover

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant C. David Viele, individually and on behalf of his IRA Names of the Respondents Asset Management Securities Corp. Barry Financial Group Case Number: 04-01694 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For C. David Viele, individually and on behalf of his IRA, he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Howard Wofsy and Ruth Wofsy, Individually and as Trustees Name of the Respondent Morgan Stanley DW, Inc. Case Number: 04-01691 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimants Howard Wofsy and Ruth Wofsy, Individually and as Trustees, hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard C. Wallace and WIDa Dean Wallace, Claimants v. Morgan Stanley DW Inc., Kathleen Pires Swan, and Wells Fargo Investments, LLC, Respondents Case Number: 04-01678 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard and Willa Dean Wallace ProSe Lake Isabella, California