NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06626 Bin Yasir Sulaiman, (Claimant) vs. Trustbank Securities Brokerage, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Delray Beach, FL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Terminated Member DATE FILED: December 28, 2005 CASE SUMMARY: Claimant alleges libel/slander on her Form U-5. Claimant requested an Ord

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel Kovnat and Phyllis Kovnat (Claimants) vs. Daniel S. Spring and Advest, Inc. (Respondents) Case Number: 05-06199 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Samuel Kovnat ("S. Kovnat") and Phyllis Kovnat ("P. Kovnat") hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marinco Ag (Claimant) vs. Legg Mason Wood Walker, Incorporated and Candid H. Peyer (Respondents) Case Number: 05-05860 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marinco Ag hereinafter referred to as "Claimant": M. Brooks Savage, Esq., Abed & Savage, Washington, DC. Respondents Legg Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Mars (Claimant) vs. John Derek Elwin, Jason Scott Woessner, Stanley Clifton Brooks and Brookstreet Securities Corporation (Respondents) Case Number: 05-04685 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Robert Mars hereinafter collectively referred to as "Claimant" appeared pro se. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Forte Communications Inc. (Claimant) vs. Westminster Securities Corporation (Respondent) Case Number: 05-02305 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Forte Communications Inc. hereinafter referred to as "Claimant": S. David Harrison, Esq., Rosen & Livingston, New York, NY. Respondent Westminster Securiti

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Klingenstein and R. James Klingenstein P/ADM PSP FBO (Claimants) v. Cardinal Capital Management, Inc., BNY Clearing Services, LLC, Hershel Smith, and John D. Kaweske, and Christopher A. Sweeney (Respondents) Case Number: 04-08672 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Terminated Members and Associated Persons. REPRESENTATION OF PARTIES Cla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Di Giammatteo, Claimant and Counter-Respondent v. Waterhouse Securities, Inc., Respondent and Counter-Claimant Case Number: 99-02993 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William W. Bloch, Esq. William Bloch & Associates LLP Beverly Hills, California For Respondent: Cameron Stout, Esq. Keesal, Young & Logan San Fra

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00881 Sandra Hernandez-Pineda Natalia Blandon Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Securities, Inc. Santiago Copello Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sandra Hernandez-Pineda and Natalia Blandon., hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05008 Robert McLeod Name of the Respondent Hearing Site: Tampa, Florida Deutsche Bank Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert McLeod ("McLeod"), hereinafter referred to as "Claimant": William Isenberg, Esq., Law Offices of William S. Isenberg & Associates, Ft. Lauderdale, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05644 Barbara Stroup, individually and on behalf of her IRA Names of the Respondents Hearing Site: Orlando, Florida Edward D. Jones & Co. L.P. Thomas Frank Belvin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara Stroup, individually and on behalf of her IRA, hereinafter referr