NASD Dispute Resolution, Inc. Arbitration No. 00-02681 Award Page 1 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Madeline M. Thomas & Jerome Zenga, Trustees for Morgan H. and Aimee K. Thomas Foundation Case No. 00-02681 (Master Case) A.G. Edwards & Sons, Inc. Brian K. McRory In the Matter of the Arbitration Between nf Plaimant David E. Sigloch Case No. 00-02682 (Subordinate Case) Man-IP n A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber Inc., (Claimant) vs. Douglas F. Joyce, (Respondent) Case Number: 02-02670 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, UBS PaineWebber Inc., hereinafter referred to as "Claimant": Thomas G. Draths, Esq., Schuyler, Roche & Zwirner, Chicago, IL. Respondent, Douglas F. Joyce, hereinafter referred to as "Respondent", did not appear at the hear

Award NASD Dispute Resolution In the Matter of the Arbitration Between: C. Edward Carter (Claimant) v. Bank of America Corporation and Bank of America Securities, L.L.C. (Respondents) Case Number: 02-02669 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, C. Edward Carter, hereinafter referred to as "Claimant": John F. Cambria, Esq., Salans, New York, NY. Respondent, Bank of America Securities, L.L.C., hereinafter referred to as "

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02667 Brian L. Kirkwood, IRA, claimant vs. Edward D. Jones and Robert J. Campbell, respondents. ATTORNEYS: " ' ~~ For Claimant appeared Richard E. Shevitz, Esq., Indianapolis, IN. For Respondents appeared Lisa A. Nielsen, Esq., of the firm Greensfelder, Hemker & Gale, PC St. Louis, MO. DATE FILED: May 7, 2002 CASE SUMMARY: Claimant alleged that respondents failed to timely execute his in

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gustavo E. Espejo P. Elsy Espejo de Mora Fernando A. Espejo Irene Arreaza de Espejo Names of the Respondents Credit Suisse/First Boston Donaldson, Lufkin & Jenrette Securities Corporation Fernando Lamas Case Number: 02-02665 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person.

Award NASD In the Matter of the Arbitration Between: Name of the Claimant David J. Kirsch Names of the Respondents Charles Schwab & Co., Inc. Keith Robinson Case Number: 02-02663 Hearing Site: New Orleans, Lousiana REPRESENTATION OF PARTIES For David J. Kirsch ("Claimant"): Bruce V. Schewe, Esq., Phelps Bunbar LLP, New Orleans, Lousiana. For Charles Schwab & Co., Inc. ("Schwab") and Keith Robinson ("Robinson"), collectively referred to a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02656 Craig C. Villanti, individually and as owner of the Craig C. Villanti SEP Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch Henry M. Blodget Keith D. Dunn Richard W. Janaes Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Craig C. Villanti, indiv

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: JOAN WURST, AMffi WURST RICHTER and JEFF RICHTER, NASD No. 02-02653 Claimants, Hearing Site: Dallas, Texas vs. TIMOTHY P. SHIVELY and FED INVESTMENTS SERVICES, INC., Respondents. NATURE OF CASE Customers v. Former Member and Associated Person REPRESENTATION OF PARTIES Claimants Joan Wurst, Amie Wurst Richter and Jeff Richter, hereinafter collectively r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Joe LaRoe, Claimant Case Number: 02-02652 v. UBS PaineWebber Inc. and Jeffrey Malcolm Davis, Hearing Site: Dallas, Texas Respondents' NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, "Frederick Joe LaRoe", hereinafter collectively referred to as "Claimant": Robert A. Bertsch, Richard Singer, Ber

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William N. Gee, IE Names of the Respondents Goldman, Sachs and Company William D. Leven Robert J. Mark LM Capital Management, L.L.C. LM Capital Management, L.P. LM Investment Capital, LP Case Number: 02-02639 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Member. REPRESENTATION OF