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

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