N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rafel Kucharski 95-03174 NameofResDondents E* Trade Securities, Inc. Jeannie Pagnocta CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 30, 1995; Claanaa& Rafel Kucnarski ("Claimant*), who appeared Pro Se, alleged mat Respondents E* Trade Securities. Inc. ("ETS"), and Jeannie Pa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06517 Mohamed Bin Sheikh Ishaq, (Claimant) vs. Brill Securities, Inc. and Joseph Nazor, (Respondents) ATTORNEYS: For Claimant appeared Kevin P. Conway, Esq., of the firm Conway & Conway, New York, NY. For Respondents appeared Charles M. O'Rourke, Esq., of the firm O'Rourke and Lawlor Attorneys-at-Law, Woodbury, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 03-04333 The Oliver Hertel 2001 Revocable Trust Barnes nf the Respondents Hearing Site- Pittsburgh, PA Edward J. Harris Harris Investment Associates Nature of the Dispute: Customer vs. Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, The Oliver Hertel 2001 Revocable Trust, hereinafter referred to as "Claimant", was re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants: Terry Thompson and Andrea Thompson vs. Case Number: 03-04304 Hearing Site: Houston, Texas Names of Respondents: Main Street Management Company and Mark McKenna Little NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Terry Thompson and Andrea Thompson ("Claimants") were represented by Ran

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04027 John Bridgman Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter James Streitmatter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Bridgman, hereinafter referred to as "Claimant": Alan J. Foxman, Esq., The Law Offices of Alan J. F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marion H. Holmes, Trustee of The Marion H. Holmes Rev. Trust U/A dtd. 07/12/94, Claimant v. A.G. Edwards & Sons, Inc. and Thomas P. Bjork, Respondents Case Number: 03-03021 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Howard M. Hoffman, Esq. Law Offices of Howard M. Hoffman Sa

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter T. Holland, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 03-02910 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Robert B. Sommer, Esq. and Robert Schwitzer, Esq. Hergenroeder, Rega and Sommer, LLC Pittsburgh, Pennsylvania For Respondent: Curt R. Hinelin

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Kyle Harrington, Respondent Kyle Harrington, Counter-Claimant v. Wachovia Securities, LLC, Counter-Respondent Case Number: 06-01410 Hearing Site: San Francisco. California Nature of the Disputes: Member Firm v. Associated Person Associated Person v. Member Firm REPRESENTATION OF PARTIES For Claimant/Counter-Respondent ("Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John C. Gorman, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc.; Merrill Lynch Business Financial Services, Inc.; John B. Broberg; and Wilhelm G. Majewski, Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Counter-Claimant v. John C. Gorman, Counter-Respondent Case Number: 03-00996 Hearing Site: San Francisco, California Nature of the Disputes: Cust

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: AH Lee Khadivi, Claimant vs. E*TRADE Securities, Inc., Respondent. Case Number: 99-02998 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Ali Lee Khadivi ("Khadivi"), hereinafter referred to as "Claimant": Philip M. Aidikoff, Esq. and Ryan K. Bakhtiari, Esq., Aidikoff & Uhl, Beverly Hills, California Respondent, E*TRADE Securities, Inc. ("E*TRADE"), hereinaf