NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07785 Bane of America Investment Services, Inc., Claimant vs. Michael E. Montgomery , Respondent. ATTORNEYS: For Claimant, Bane of America Investment Services, Inc. ("Claimant") appeared Diane C. Fischer, Esq., Chicago, IL. Respondent, Michael E. Montgomery ("Respondent") did not respond to the Statement of Claim. DATE FILED: December 24, 2002 CASE SUMMARY: Claimant alleged that Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas DiMassa (Claimant) vs. Financial American Securities, Inc., and Tim D. Austin Case Number: 02-07780 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Thomas DiMassa ("DiMassa"), hereinafter referred to as "Claimant": Roger W. Van Deusen, Esq., Van Deusen &Wagner, LLC, Cleveland, OH. Respondent, Financial America Securities, Inc., ("FAS"): Jeffery S. Sobieski,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Stannard, Claimant v. Peter Van Flein and Edward D. Jones & Co., Respondents Case Number: 00-04280 Hearing Site: Anchorage, Alaska REPRESENTATION OF PARTIES For Claimant: David Stannard, pro se Fairbanks, Alaska For Respondents: Eric D. Lansverk, Esq. Hillis Clark Martin & Peterson Seattle, Washington CASE INFORMATION Statement of Claim filed: September 2

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dori Gilbert (Claimant) v. A.G. Edwards & Sons, Inc. and Fred Brickel (Respondents) Case Number: 02-07779 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Dori Gilbert ("Gilbert") hereinafter referred to as "Claimant": Thomas J. Moran, Esq., Paramus, NJ. Respondents A.G. Edwards & Sons, Inc. ("AG

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jennifer H. Lobo (Claimant) v. UBS Financial Services, Inc. f/k/a UBS Paine Webber, Inc., Jim Barilla, and Drew Dusebout (Respondents) Case Number: 02-07777 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Jennifer H. Lobo ("Lobo") hereinafter referred to as "Claimant": Mark S. Cohen, Esq., Coh

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dorothy Stringer and David Gross vs. 02-07773 Oklahoma City, Oklahoma Names of Respondents Morgan Stanley DW, Inc. and Gary D. Wood NATURE OF DISPUTE Customers vs. Member and Associated Person REPRESENTATTON OF PARTIES Dorothy Stringer and David Gross ("Claimants") were represented by Jerry L. Colclazier, Esq., of Colclazier & Associates, Semino

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant ( Deanna S. Schmidt v. 02-07771 Minneapolis* Minnesota Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Craig M. Jarvis Nature of Dispute: Customer v. Member and Associated Person , REPRESENTATION OF PARTIES Deanna S. Schmidt ("Claimant") was represented by Vincent D. Louwagie, Esq., of Anthpny Ostlund & Baer, P.A., Minneapolis, Minnesota. •

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07770 Mark A. Shapiro Name of the Rcspondent/Third-Partv Claimant Morgan Stanley DW, Inc. Name of Third-Party Respondent Kimberlyn C. Underwood Hearing Site: Chicago, Illinois Type of Controversy: Customer v. Member Firm v. Associated Person REPRESENTATION OF PARTIES Claimant Mark A. Shapiro ("Shapiro") was represented by Mitchell L.

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant, Stifel, Nicolaus & Company, Inc. vs. Respondent Bruce Ranney. Case Number: 02-07765 SITUS: Chicago, Illinois NATURE OF DISPUTE: Member v. Associated Person, REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Company, Inc hereinafter referred to as "Claimant": Kelly Karase Esq., of Blackwell Sanders Peper Martin located in St. Louis Missouri. Respondent did not e

Award NASD Dispute Resolution In the Matter of the Arbitration Between; e of thfl Plqjmfir't q Pasp Nnmhftr- 02-07764 Alan Butz and Karen Richards Butz; and Alan Consulting Services, Inc., d/b/a Advanced Communications Solutions ft °fthfi F^porfonts H*rflri T ip; Site/ Dallas, Texas Raymond, James & Associates, Inc. and Kenneth M. Lampos T y Public Customers v. Member Firm and Associated Person ° PARTTFS Claim