STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Finn Mackey, individually, and as Trustee of the Finn Mackey Revocable living Trust Dated August 10, 1992 and Names of Respondents Bentley Lawrence Securities, Inc. Thomas Preston, Towne Center Financial Services, Inc. and American Skandia Life Assurance Corp. Case Number: 02-07761 Hearing Site; Southfield, Michigan NATURE OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf thft Claimant Pase "Nfmnher 02-07757 Wachovia Securities, LLC Name of the Respondent Hearing Site: Raleigh, NC Morgan Keegan & Company, Inc. Ralph E. Huey, Jr. Nature of the Dispute: Member v. Member and Associated Person. REPRFSFNTATTON OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by John E. MacDonald Esq., S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant David A. Stevens Case No. 00-04277 Name of Respondent Anchor Management Group, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For David A. Stevens hereinafter referred to as "Claimant": James H. Fallace, Esq. of Fallace & Associates, P.A., Melbourne, FL. For Anchor Management Group, Inc. ("Anchor") hereinafter referred to as "Respon

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant JJ.B. Hillard, W.L. Lyons, Inc. vs. Respondent Mark Considine Case Number: 02-07754 SITUS: Richmond, Virginia. NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant JJ.B. Hillard, W.L. Lyons, Inc., hereinafter referred to as "Claimant" was represented by Matthew J. Morelli, Esq., Ulmer & Berne, LLP, Cleveland, Ohio. Respondent did not en

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Raymond H. Fenlon and 02-07749 Tucson, Arizona Name of Respondents Salomon Smith Barney Inc. n/k/a Citigroup Global Markets, Inc. James P. Dretler Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Raymond H. Fenlon ("Claimant") was represented by Mark D. Lammers,Esq., Anson, Lammers & Barkley, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James O'Neill Names of the Respondents First Union Securities, Inc. f/k/a First Union Brokerage Services, Inc. Daniel C. Richardson Richard Dewan Delores Vance Case Number: 02-07740 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For James O'Neill, hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dane Investments, L.L.C. Name of the Respondent H&R Block Financial Advisors, Inc. Case Number: 02-07739 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dane Investments, L.L.C., hereinafter referred to as "Claimant": James E. Stovall, Esq., Law Office of James E. Stovall, Covington,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Susan L. Baker Susan L. Baker Trustee DTD 12-18-91 Names of the Respondents Morgan Stanley DW 3 Inc. Lee J. Sonko Case Number: 02-07738 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Susan L. Baker ("Baker") and Susan L. Baker Trustee DTD 12-

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John R. Barber & Ruth J. Simmons Barber, as Trustees of the Barber Family Trust, Claimants v. Morgan Stanley DW Inc. (f/k/a Morgan Stanley Dean Witter) and Alan M. Corwin, Respondents Case Number: 02-07736 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard D. Turner, Esq. Eisenhower &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gloria L. Lundgren as Executor of the Estate of Ralph J. Lundgren and Gloria L. Lundgren, individually, Claimants v. Morgan Stanley DW Inc. (f/k/a Morgan Stanley Dean Witter) and Alan M. Corwin, Respondents Case Number: 02-07730 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard D. Tu