NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04013 Ryan Beck & Co., Inc., (Claimant) vs. Dennis Armstrong, (Respondent) ATTORNEYS" For Claimant appeared in-house counsel Jeffrey C. Primiano, Esq., Livingston, NJ. Respondent appeared pro se, Long Beach, NY, NATURE OF DISPUTE: Member v. Associated Person" DATE FILED: September 1, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies ow

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02112 Ryan Beck & Co., Inc., (Claimant) vs. Jon Vijungco, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Jeffrey C. Primiano, Esq., Livingston, NJ. For Respondent appeared Joseph N. Paykin, Esq., of the firm Paykin Greenblatt Lesser & Krieg LLP, New York, NY. NATURE OF DISPUTE: Member v. Associated DATE FILED: April 26, 2006 CASE SUMMARY: Claimant alleged that Respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Laura Bathish, (Claimant) vs. Glenn Michael Financial, Inc. and Stanley Latawiec, (Respondents) Case Number: 99-03627 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Laura Bathish, hereinafter referred to as "Claimant": Gary H. Untracht, Esq., sole practitioner, Milburn, NJ. Respondents, Stanley Latawiec ("Latawiec") and Glenn Michael Financial, Inc. ("GMFI"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00829 Harold Stuart, Rebecca Stuart, Individually and jointly, Harold Stuart pursuant to his POA over Rebecca Stuart, Harold Stuart as trustee of the Harold Stuart Rev. Trust (6/26/85), Rebecca Stuart as trustee over the Rebecca Stuart Rev. Trust (6/26/85) Harold Stuart as trustee over the Harold K. Stuart Sr. Trust (2/23/78), The Harold K.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants May A. Kaftan-Kassim & Namir E. Kassim Case No. 99-04294 Name of Respondent Fidelity Brokerage Services, Inc. Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimants, May A. Kaftan-Kassim and Namir E. Kassim, hereinafter referred to as "Claimants": John P. Connolly, Esq., Law Offices of John P. Connolly, Alexandria, Virginia. Res

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rick Rada and Case Number: 04-08635 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Merrill Lynch Pierce Fenner& Smith, Inc. NATURE QF Customer v. Member REPRESENTATION QF PARTIES Rick Rada ("Claimant") was represented by William J. Bergner, Esq., Woska & Hayes, LLP, Oklahoma City, Oklahoma. Merrill Lynch Pierce Fenner & Smith, Inc. (

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant s Theo W. Plnson, Trustee foe First Financial Group of Texas, Inc. 90-01180 Prudential Securities Inc. Par Claimant: Tbeo W. Plnson, Trustee fear First Financial Group of Texas, Inc. was Lepxesenled by 0. W. Bussey, Jr., Esq. of Plnson & Bussey, P.C., Bbustan, Texas. For Respondent: Prudential Securities Inc., formerly ICQOMCL as Prudential

IJ.A.c.3. AWARD NATIONAL ASSOCIATION OF SECURITIES ~EALERS In the Matter of the Arbitraricr/asrween Name of Wallace Lin 90-01984 Merrill Lynch, Pierce, Fenner i Smith Leon Hu Richard Ruffine ™~~^™"""-" Claimant was represented ir/ Hark Skakun, Esq. and respondents were represented by James A. Hughes, Zsq. of the firm Orrick, Harrington & Sutcliffe. This case was filed with the National Association of Securities Dealers, Inc. ("NA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01988 In the Matter of the Arbitration Between Kent Harrison Robbins Claimant vs. Allied Capital Group, Inc. Douglas Kaladi Respondents CASE SUMMARY Claimant Kent Harrison Robbins, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on July 18, 1990, alleged that Respondents Allied Capital Group, Inc. and Douglas Kaladi misrepresented a stock cal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaineWebber Incorporated, Claimant v. Lee E. Barret, III, Respondent Case Number: 99-03645 Hearing SJte: Houston, Texas REPRESENTATION OF PARTIPR Claimant, PaineWebber Incorporated, hereinafter referred to as "Claimant", was represented by Vincent J. Olivia, Esq., of PaineWebber Incorporated, located in Weehawken, New Jersey. Respondent, Lee Barret of Houston, Texas, herei