AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Norma J. Muir, TTEE Muir Family Trust and 02-07794 Phoenix, Arizona Name of Respondents Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Norma J. Muir, TTEE Muir Family Trust ("Claimant") was represented by Paul A. Conant, Esq., Thomson Conant PLC, Phoenix, Arizona. Prudential Equity Group, LLC ("R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07792 Rasiklal Nagda Harshada Nagda Sofia R. Nagda Custodial Account Drew Nadga Custodial Account Sonia R. Nagda Custodial Account Names of the Respondents Hearing Site: Orlando, Florida New England Securities Corp. Dipak Shah Sami Qutby New England Life Insurance Company Nature of the Dispute: Customers vs. Member, Non-

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07788 Beverly Fleisig and Merrill F. Brotman, Co-Trustees U/A/D 2/18/87 Beverly Fleisig Trustee of the Earl Fleisig Trust U/A/D 2/18/87 Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beverly Fleisig and Merri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joel Flig and Joan Flig (Claimants) v. Prudential Equity Group, Inc. #k/a Prudential Securities, Inc. and Andrew Wolff (Respondents) Case Number: 02-07786 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Joel Flig ("Joel Flig") and Joan Flig ("Joan Flig") hereinafter collectively referred to as

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