PUBLIC ArDit ration M.A.S.D. AWARD V ~ ~ ~ ' . National Association of ._---_._.,„ „ .-,_-,..„ - Securities Dealers, inc. ASSOC1ATICN OF SSCUKITIES DEALERS NASD =-anc:ai Cemer _ ^ 13 WfmeP.au Street In the Matter of the Arbitration Between "Jew/cr*. *JY -^cc-i 'AX .212) 035-1332 o£ Clainant Lisa Bosh Gase# vs. 91-01671 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc G. Gooke For Claumnt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Jill Kligman 94-02741 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, ..... Joseph Toro Thomas Pristavec Emdadul Kahn REPRESENTATION For claimant Jill Kligman ("claimant"), appeared George V. Cornell in, a sole practitioner located in Staten Island, New York. For respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mume of Claimant Alan Titunik 94-03915 Name of Respondent DESCAP Securities, Inc. REPRESENTATION For Claimant Alan Titunik ("Claimant") appeared George A, Aguilar, Esq. of the law firm of Pitney, Hardin, Kipp & Szuch located in Morristown, New Jersey. For Respondent DESCAP Securities, Inc. ("Respondent") appeared Nina S. Epstein, Esq. of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cantor Fitzgerald Partners 95-02910 Name of Respondent LaSalle National Bank REPRESENTATION For Claimant, Cantor Fitzgerald Partners ("Claimant"), appeared Edward I. Boyle of the law firm Wilson, Elser, Moskowitz, Edelman & Dicker located in New York, New York. For Respondent, LaSalle National Bank ("Respondent"), appeared Dani

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: MARK J. SEELIG, -and- Claimant. Docket No. 98-04269 STIPULATED AWARD D. H. BLAIR & CO., INC., STEVEN B. ROCK, RICHARD MISH, KALMAN MORRIS RENOV, ALAN STAHLER, RIVKIROSENWALD, ALISON DONNELL BROWN, RICHARD ANTHONY SICHENZIO, WILLIAM BERNARD BADINELLI, JR. And "JOHN DOES" 1-10, Respondents. REPRESENTATION Claimant was represented by M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Otto Kozak (Claimant) v. Daniel Pyle and Garden City Capital Management, LLC (Respondents) Case Number: 03-05881 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant Otto Kozak hereinafter referred to as "Claimant": Yitka Kozak, Atlantic NY. Previously represented by Richard J. Babnick, J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03369 Martin J. Halm, claimant vs. Scottsdale Securities, Inc., respondent. ATTORNEYS: For claimant, Martin J. Halm, ("Claimant"), appeared Ian Brenson, Esq., La Grange, IL. For respondent, Scottsdale Securities, Inc., ("Respondent"), appeared Mark Finnegan, Compliance Manager, St. Louis, MO. DATE FILED: July 23, 1999 CASE SUMMARY: Claimant alleged that he place an order with Respo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott A. Halpern, (Claimant) vs. Chapdelaine Corporate Securities, (Respondent) Case Number: 00-01109 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Scott A. Halpern ("Halpern"), hereinafter referred to as "Claimant": appeared pro se, New York, NY. Respondent, Chapdelaine Corporate Securities ("Chapdelaine"), hereinafter referred to as "Respondent": Jerome

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John D. Garvey IRA Rollover Account, (Claimant) vs. Guardian Investor Services Corp., The Guardian Life Insurance Company of America, The Guardian Park Avenue Fund, and State Street Bank and Trust Co., (Respondents) Case Number: 00-00125 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, John D. Garvey IRA Rollover Account, hereinafter referred to as "Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael Perle, Jane Bottone, Michael Bottone, Marsia Bottone, Anna Bottone Trust and Michael Bottone, Jr. vs. John A. Radii Claimants Respondent CASE # 89-00158 89-00962 .89.-OS968 89-01012 AWARD CASE SUMMARY - Michael and Jane Bottone allege they gave John A. Radii $66,008.15 for safe investment and that unsuitable transactions were