AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Leonard W. Ford vs. Name of Respondent E*Trade Securities, LLC Case Number: 05-04407 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Leonard W. Ford ("Claimant") appeared pro se. ETrade Securities, LLC ("Respondent") was represented by John Bersin, Esq., E*Trade Securities, LLC,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02422 CSFBdirect, Inc., claimant vs. Sahidul Haque, respondent. ATTORNEYS: For Claimant appeared Todd Atkins, Esq., of the firm Keesal, Young & Logan, Long Beach, CA. Respondent appeared pro se, Marina del Rey, CA. DATE FILED: May 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on his account that was created after his check was returned

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Steven M. Admire vs. Names of Respondents Capital West Securities, Inc. and Stifel, Nicolaus & Co., Inc. Case Number: 05-01899 Hearing Site: Oklahoma City, Oklahoma NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Steven M. Admire ("Claimant") was represented by Laurence L. Pinkerton, Esq., Pinkerton & Finn, P.C., Tuls

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02355 National Securities Corporation, (Claimant) vs. Harry Francois, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of the firm Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Norwalk, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 10, 2006 CASE SUMMARY: Claimant alleged that Respondent breach

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02319 Harold Freeman Graves, Jr., (Claimant) vs. ETrade Securities LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Newport, Rl. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 5, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to execute a trade instruction. Claimant maintained th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02260 Wachovia Securities Financial Network, LLC, (Claimant) vs. Duane Garth, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Douglas D. Callaway, Esq., Richmond, VA. Respondent appeared pro se, Southfield, Ml. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 5, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by fai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01705 Lisa Hansman Executor of the Estate of lola J. Cran, (Claimant) vs. Raymond James & Associates, Inc., Douglas E. Allen and Linsco/Private Ledger Corp., (Respondents) ATTORNEYS: For Claimant appeared Todd A. Strother, Esq., of the firm Bradshaw, Fowler, Proctor & Fairgrave, P.C., Des Moines, IA. For Respondents Douglas E. Allen and Linsco/Private Ledger Corp. appeared in-house couns

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01610 Vlad J. Novotny, (Claimant) vs. Newbridge Securities Corporation and Danard Warthen Brown, (Respondents) ATTORNEYS: For Claimant appeared Michelle S. Novotny, Campbell, CA. For Respondent Newbridge Securities Corporation appeared in-house counsel Gregg Breitbart, Esq., Fort Lauderdale, FL. For Respondent Danard Warthen Brown appeared Charles M. O'Rourke, Esq., of the firm Charl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alwyn Hislop and Claire Hislop (Claimants) vs. Maxim Group, LLC and Allan Carlyle Murray (Respondents) Case Number: 05-06319 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Alwyn Hislop ("A. Hislop") and Claire Hislop ("C. Hislop"), hereinafter collectively referred to as "Claimants": Vincent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION .CASE: 05-06090 David Lerner & Associates, Inc., (Claimant) vs. Michael Persico, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Joseph C. Pickard, Esq., Syosset, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 22, 2005 CASE SUMMARY. Claimant alleged that Respondent breached an employment con