Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Patricia Engel Case No. 99-02996 Names of Respondents Lehman Brothers Inc. Alejandro G. Silva John Baragwanath REPRESENTATION OF PARTIES For Patricia Engel ("Engel"), hereinafter referred to as "Claimant": Clifford J. Bond, Esq. and Sigmund S. Wissner-Gross, Esq., Heller, Horowitz & Feit, P.C., New York, New York. For Lehman Brothers, Inc. (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant gasej^unifcer: 03-02515 Steve Jager Naine of the Respondent Hearing Site: Atlanta, Georgia Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATIpN OF PARTIES For Steve Jager, hereinafter referred to as "Claimant": M Clay Ragsdale, Esq., Ragsdale LLC, Birmingham, Alabama. For Prudential Securities Incorporated, he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02317 Brad and Shawn Stanton, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, Austin, TX, For Respondent appeared in-house counsel, Harry B. Frisch, Esq., New York, NY. NATURE OF DISPUTE: Customers vs. Member ~~~ DATE FILED: May 8,2006 CASE SUMMARY: Claimants alleged that Respondent added unauthorized fees to their a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02258 Wachovia Securities, LLC, (Claimant) vs. Catherine C. Hale, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Douglas D. Callaway, Esq., Richmond, VA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: May 5, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay moni

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06626 Bin Yasir Sulaiman, (Claimant) vs. Trustbank Securities Brokerage, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Delray Beach, FL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Terminated Member DATE FILED: December 28, 2005 CASE SUMMARY: Claimant alleges libel/slander on her Form U-5. Claimant requested an Ord

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel Kovnat and Phyllis Kovnat (Claimants) vs. Daniel S. Spring and Advest, Inc. (Respondents) Case Number: 05-06199 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Samuel Kovnat ("S. Kovnat") and Phyllis Kovnat ("P. Kovnat") hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marinco Ag (Claimant) vs. Legg Mason Wood Walker, Incorporated and Candid H. Peyer (Respondents) Case Number: 05-05860 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marinco Ag hereinafter referred to as "Claimant": M. Brooks Savage, Esq., Abed & Savage, Washington, DC. Respondents Legg Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Mars (Claimant) vs. John Derek Elwin, Jason Scott Woessner, Stanley Clifton Brooks and Brookstreet Securities Corporation (Respondents) Case Number: 05-04685 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Robert Mars hereinafter collectively referred to as "Claimant" appeared pro se. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Forte Communications Inc. (Claimant) vs. Westminster Securities Corporation (Respondent) Case Number: 05-02305 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Forte Communications Inc. hereinafter referred to as "Claimant": S. David Harrison, Esq., Rosen & Livingston, New York, NY. Respondent Westminster Securiti

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Klingenstein and R. James Klingenstein P/ADM PSP FBO (Claimants) v. Cardinal Capital Management, Inc., BNY Clearing Services, LLC, Hershel Smith, and John D. Kaweske, and Christopher A. Sweeney (Respondents) Case Number: 04-08672 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Terminated Members and Associated Persons. REPRESENTATION OF PARTIES Cla