* \ STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant United Securities Alliance, Inc. v. 02-05328 Denver, Colorado Respondent Nancy A. Hughes Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES United Securities Alliance, Inc. ("Claimant") was represented by Carla B. Minckley, Esq., of Birge & Minckley, P.C., Denver, Colorado. Nancy A. Hughes ("Respondent") appeared p

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mario and Mollie Munoz, Juan Porras, Magdelena Porras and Chris Pereyra and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Merrill Lynch & Co., Inc., Henry J. Medina, and Medina & Medina Group Case Number: 02-05327 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm, Associated Person and Non-Members

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Oyeyemi Adedeji- Orolugbagbe and 02-5326 Milwaukee, Wisconsin Name of Respondent Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Oyeyemi Adedeji- Orolugbagbe ("Claimant") was represented by Mark E. Sanders, Esq. of Hailing & Cayo, S.C., located in Milwaukee, Wisconsin. Morgan Stanley Dean Witte

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert S.Treece v. 02-05325 Denver, Colorado Respondents Wells Fargo and Company, Wells Fargo Securities, Inc., Wells Fargo Investments, LLC, Wells Fargo Brokerage Services, LLC, Dennis D. Thonvold and Tanya R. Mathews Nature of Dispute: Customer v. Members, Non-Members and Associated Persons REPRESENTATION OF PARTIES Robert S. Treece ("Claima

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert S. and Robyn M. Forman and 02-05320 Phoenix, Arizona Name of Respondents Bane of America Securities Karen S. Herrick Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert S. and Robyn M. Forman ("Claimants") were represented by Jeffrey D. Ferentz, Esq., Greenbaum and Ferehtz, LLP, Ne

ORIGINAL Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rae K. Nelson, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 02-05317 Hearing Site: Salt Lake City, Utah * Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Lary S. Larson, Esq. Hopkins Roden Crockett Hansen & Hoopers Idaho Falls, Idaho For Respondent: Phyllis A. Hatrich, Esq. A.G. Edwards & Sons,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rae K. Nelson, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 02-05317 Hearing She: Salt Lake Cfty, Utah REPRESENTATION OF PARTIES For Claimant: Lary S. Larson, Esq. Hopkins Roden Crockett Hansen & Hoopers Idaho Falls, Idaho For Respondent: Phyllis A. Hatrich, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Statement of Claim f

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Timothy G. Ford Case No. 00-04000 Names of Respondents American Fronteer Financial Corp. Roger Edward Davis Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Timothy G. Ford ("Ford"), hereinafter referred to as "Claimant": Barry L. Anderson, Esq. of Schweber, Izenson & Anderson, LLP, Atlanta, Georgia. For American Fronteer Financi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Producers Protective Association, (Claimants) vs. U.S. Bancorp Investments, Inc. and Jennifer Gunn, (Respondents). Case Number. Hearing Site: 00-00405 Denver, Colorado REPRESENTATION OF PARTIES Claimant, Producers Protective Association ("Producers"), hereinafter referred to as "Claimant": Neal S. Cohen, Esq., Chrisman, Bynum & Johnson, P.C., Boulder, Colorado. Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jay R. Rice, Claimant vs. Benjamin & Jerold Brokerage, Inc. and Jerold A. Kopf, Respondents. Case Number: 00-00040 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES Claimant, Jay R. Rice, hereinafter referred to as "Claimant": Randall R. Heiner, Esq., Salt Lake City, Utah Respondents, Benjamin & Jerold Brokerage, Inc. ("B&J") and Jerold A. Kopf, hereinafter refe