Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02797 Canaciet Caja Nacional de Cesantia de Andinatel, S.A., Pacifictel, S.A. y Superintendencia de Telecomunicaciones Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Equity Group, LLC f/k/a Prudential Securities, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Canacie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01202 Leonard J. Collins, (Claimant) vs. Scottrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Ocala, FL. For Respondent appeared in-house counsel Andrew C. Small, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 6, 2006 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty, negligently handled his account and omitted mat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard E. Kota, Individually and for his IRA (Claimants) v. HSBC Securities (USA) Inc. f/d/b/a HSBC Brokerage (USA) Inc., and Theresa M. Smith (Respondents) Case Number. 05-5308 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Richard E. Kota, Individually and for his IRA hereinafter referred to as

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of the Claimants Case Number: 00-00824 Rose M. Nowiki Lucille Baker Names of the Respondents Hearing Site: Boca Raton, Florida Aragon Financial Services, Inc. Michael C. Clark REPRESENTATION OF PARTIES For Rose M. Nowiki ("Nowiki") and Lucille Baker ("Baker"), hereinafter collectively referred to as "Claimants": Howard N. Kahn, Esq., Cohen & Kahn, P.A., Holly

NASD DISPUTE RESOLUTION A.WABD NASD DISPUTE RESOLUTION. INC, CASE: 00-00089 Stephanie Bernik, claimant vs. EBI Securities Corporation and Christopher Astrwortli, respondents. ATTORNEYS: Claimant, Stephanie Betook, appeared Pro Se., New York, NY. For respondent, EBI Securities Corporation, appeared in-house counsel Russell K. Bean, Esq., Englewood, CO. Respondent Christopher Ashwortri did aot respond to the Statement of Claim. DATE FILED: January

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03522 Kenneth L. Pike and Kenneth L. Pike IRA Names of the Respondents Hearing Site: Atlanta, Georgia Mitchell Weisberg Jordan Scales Marc Kimmell Franklyn R. Michelin John Kawas Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Kenneth L. Pike and Kenneth L. Pike IRA, hereinafter referred to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James Long and Delores Long and Case Number: 05-02462 Hearing Site: Southfield, Michigan Respondents American Express Financial Advisors, Inc., n/k/a Ameriprise Financial Services, Inc., IDS Life Insurance Company, Thomas E. Smith. Jr.. and Amy Taylor Smith NATURE OF DISPUTE Customers v. Members and Associated Persons REPRESENTATION OF PARTIES Ja

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08185 Dane Fulmer Name of the Respondent Hearing Site: Little Rock, Arkansas Sterne, Agee & Leach, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Dane Fulmer, hereinafter referred to as "Claimant": Kenneth R. Shemin, Esq., Shemin & Hendren, PLLC, Fayetteville, AR. For Sterne, Agee &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Harcharic, Jason Harcharic, and Justin Harcharic, Claimants v. Multi-Financial Securities Corporation, Sanders Morris Harris Inc., and Ruth E. Sully, Respondents Case Number: 05-04930 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard Bryson, Esq. Richard Bryson, APC L

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Alfonso A. Marano and Marcia A. Marano (Claimants) vs. Ed Wilson and UBS Financial Services, Inc. (Respondents) Case Number: 05-03093 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Alfonso A. Marano ("A. Marano") and Marcia A. Marano ("M. Marano") hereinafter collectively referred to as "Claiman