Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00932 Wachovia Securities, LLC Name of the Respondent Hearing Site: Atlanta, Georgia Mark Silva ; Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Renan Sugarman, P.C., Chicago, Illinois. Mark Silva, hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Naima Mattar (Claimant) vs. Alliance Bernstein Investment Research and Management, Inc. (Respondent) Case Number: 05-00925 Hearing Site: New York City, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Naima Mattar hereinafter referred to as "Claimant": Louis Pechman, Esq., Berke- Weiss & Pechman LLP, New York, NY. Respondent All

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Plaimflnt , CM* Niimhftr- 05-00920 Mary S. Traylor NnmR nf the RpgpnnHftnt Hpan'ng Site* Nashville, TN Merrill Lynch, Pierce, Fermer & Smith, Inc. Nature of the Dispute: Customer v. Member. RFPRFSENTATION OF PARTTF.S Claimant, Mary S. Traylor, hereinafter referred to as "Claimant", was represented by Ronald C. Koksal, Esq., Butler, Vines & Babb, PLLC, Knoxville,

1 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01792 Michael Widner, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Folsom, CA. For Respondents appeared Mauricio S. Beugelmans, Esq., in-house counsel, San Francisco, CA. DATE FILED: April 6, 2001 CASE SUMMARY: Claimant alleged that respondents misrepresented facts and gave conflicting advice regarding certain recommendations of sto

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between of Susan McMahon and Names of Respondents Prudential Equity Group, LLC, Alberto Santos and Phillip Roiand Valadez Case Number: 05-00911 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Susan McMahon ("Claimant") was represented by Alex Katzman, Esq., Katzman & Katzman, San Antonio,

DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00904 Dana Spencer, (Claimant) vs. ADP Clearing and Outsourcing Services, Inc., (Respondent) ATTORNEYS: For Claimant appeared Solomon E. Kuckelman, of the firm BLS Legal Services, Inc., Brooklyn, NY. For Respondent appeared in-house counsel Charles Siegel, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 17, 2005 CASE SUMMARY: Claimant alleged that Responden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00900 Larry A. Hamilton, (Claimant) vs. Leonard S. Chaikind, Andrew J. Martin, Mariel Christi Clemensen, HCC-TradeCo ? Inc., and John Christopher Van, (Respondents) ATTORNEYS: Claimant appeared pro se, Hiuston, TX. Respondents Mariel Christi Clemensen and IICC-TradeCo, Inc., appeared pro se through Mariel Christi Clemensen, Jersey City, NJ. Respondent Andrew J. Martin appeared pr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00895 Chris M. Zabak, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Houston, TX. For Respondent appeared in-house counsel lanis Campanella, Boca Raton, FL. NATURE OF DISPUTE: Customer vs. Member and Associated Person DATE FILED: January 28, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handled his account by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Omar Take y Kodr (Claimant) vs. Josephthal & Co., Inc. (Respondent) Case Number: 05-00893 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Omar Take y Kodr hereinafter referred to as "Claimant" appeared pro se. Respondent Josephthal & Co., Inc. hereinafter referred to as "Respondent": Yosef Sinensky, Esq., Oppenheimer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lance R. Freed, Judith Fisher Freed, The Freed Living Trust dated 5/9/97, and The Judith Fisher Freed Living Trust dated 12/19/66, Claimants v. Clearing Services of America, Inc., Respondent Case Number: 05-00892 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Leonard Steiner, Esq. Steiner & Libo Bever