PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George F. Sieg 92-02738 Name of Respondent Kevin Browne CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on August 14, 1992. Claimant George F. Sieg, who appeared Pro Se, alleged that Respondent Kevin Browne recommended the purchase of Macys 14.5% bonds which were not suitable c

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Rinello Michael Caraher John McLean 92-02734 Name of Respondents Gilford Securities Incorporated Kevin McCarthy REPRESENTATION For Claimants: Christopher C. Fountain, Esq. For Respondent, Gilford Securities, Inc.: Michael Kalmus, Esq, of Kalmus & Matuscello. For Respondent, Kevin D. McCarthy: Kevin D. McCa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Dorothy O'Reilly 92-02728 Name of Respondents') David Lerner Associates RF.PRFSKNTATTON For Claimant, Dorothy O'Reilly ("Claimant"), Roger M. Deitz located in New York, New York. For Respondent, David Lerner Associates ("Respondent"), Ruthann Niosi located in New York, New York. CASE INFORMATION Statement of Clai

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Monika M. Strauss Claimant vs. CASE #92-02725 John F. Yakimcyk Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1992, Claimant Monika M. Strauss who appeared Pro Se, alleged that on February 7, 1991 Respondent John F. Yakimcyk, Investment Executive with Schneider Securit

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Leonard W. Ford vs. Name of Respondent E*Trade Securities, LLC Case Number: 05-04407 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Leonard W. Ford ("Claimant") appeared pro se. ETrade Securities, LLC ("Respondent") was represented by John Bersin, Esq., E*Trade Securities, LLC,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02422 CSFBdirect, Inc., claimant vs. Sahidul Haque, respondent. ATTORNEYS: For Claimant appeared Todd Atkins, Esq., of the firm Keesal, Young & Logan, Long Beach, CA. Respondent appeared pro se, Marina del Rey, CA. DATE FILED: May 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on his account that was created after his check was returned

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Steven M. Admire vs. Names of Respondents Capital West Securities, Inc. and Stifel, Nicolaus & Co., Inc. Case Number: 05-01899 Hearing Site: Oklahoma City, Oklahoma NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Steven M. Admire ("Claimant") was represented by Laurence L. Pinkerton, Esq., Pinkerton & Finn, P.C., Tuls

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02355 National Securities Corporation, (Claimant) vs. Harry Francois, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of the firm Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Norwalk, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 10, 2006 CASE SUMMARY: Claimant alleged that Respondent breach

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02319 Harold Freeman Graves, Jr., (Claimant) vs. ETrade Securities LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Newport, Rl. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 5, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to execute a trade instruction. Claimant maintained th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02260 Wachovia Securities Financial Network, LLC, (Claimant) vs. Duane Garth, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Douglas D. Callaway, Esq., Richmond, VA. Respondent appeared pro se, Southfield, Ml. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 5, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by fai