Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01182 Terrence E. Wells and Patricia A. Wells Names of the Respondents Hearing Site: Philadelphia, Pennsylvania SunAmerica Securities, Inc., Shane & Associates Craig R. Koller. Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Terrence E. Wells and Patricia A. Wells, herein

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01179 James Brotherton, Sr., Claimant v. Morgan Stanley DW, Inc. and Keith J. Storms, Respondents ATTORNEYS: Claimant James Brotherton, Sr. ("Claimant") appeared pro se, Daytona Beach, FL. For Respondents Morgan Stanley DW, Inc. and Keith J. Storms (collectively "Respondents") appeared Doreen S. Young, Esq., in-house counsel, Morgan Stanley DW, Inc., Sarasota, FL. Previously represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01178 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., David D. Mumford, and Felipe A. Luna, Claimants v. John J. Bazzone, Respondent ATTORNEYS: For Claimants Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., David D. Mumford, and Felipe A. Luna (collectively "Claimants") appeared Kent B. Frazer, Esq,, of the firm Boose Casey Ciklin Lubitz Martens McBane & O'Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.P. Turner & Company, LLC (Claimant) v. Raffaele Gambardella and Phil Michals (Respondents) Case Number: 04-01176 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant J.P. Turner & Company, LLC ("J.P. Turner") hereinafter referred to as "Claimant": Martin S. Cole, New York, NY. Previously represented by: Micha

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant George Beeson and Respondent Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. Case Number: 04-01169 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES George Beeson, ("Claimant"), was represented by James J. Eccleston, Esq., of Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C., loca

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia L. Bratton vs. 04-01166 Oklahoma City, Oklahoma Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Michael J. Couch, and Walter H. Johnson NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Virginia L. Bratton ("Claimant") was represented by was represented by Rohit C. Sharma,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael A. De Luca, MD, IRA account Julie A. De Luca and Michael De Luca, tenants by the entirety, Julie De Luca TOD M.J.M.C. & L.A. De Luca and De Luca, LTD., Julie De Luca, IRA account Names of the Respondents Smith Barney Citigroup Dianne Lerner Case Number: 04-01163 Hearing Site: Boca Raton, Florida Nature of the Dispute

STIPULATED AWARD NASD Dispute Resolution in the Matter of the Arbitration Between Names of Claimants James W. Prag and A. Margaret Prag and Names of Respondents Equable Securities Corporation and Patrick A. Schultz Case Number: 04-01159 Hearing Site: Nashville, Tennessee NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, James W. Prag and A. Margaret Prag, were represented by E. Jer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fimat USA, Inc. (Claimant) v. Pro-Vest Capital Corp. and George Fontanills (Respondents) Case Number: 04-01158 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Fimat USA, Inc. hereinafter referred to as "Claimant": Hank L. Goldsmith, Esq., Proskauer Rose, LLP, New York, NY. Respondents Pro-Vest Capital Corp. ("Pro-V

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Brian W. Foster, (Claimant) vs. Prudential Securities Incorporated and Mark S. Hayek, (Respondents) Case Number: 00-05662 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Brian W. Foster, hereinafter referred to as "Claimant": Andrew D. Epstein, Esq., Barker, Epstein & Loscocco, Boston, MA. Respondents, Prudential Securities Incorporated ("PSI") and