Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bipinchandra Jhaveri (Claimant) v. Citigroup Global Markets, Inc., Timothy Stauffer, Jon P. Ramey, and William M. Ward (Respondents) v. Kamlesh Jhaveri (Third-Party Respondent) Case Number: 04-05929 Hearing Site: Newark, New Jersey Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Persons. Third Party Claim: Member Firm and Associated Persons v.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Akram Niroomand-Rad 94-02501 Name of Respondents American Bond Group, Inc. Joseph Mario Minieri REPRESENTATION For Claimant, Akram Niroomand-Rad ("Niroomand-Rad"): Jeffrey R. Surlas, Esq. of Jamerson,. Sutton & Surlas, Coral Gables, Florida. For Respondent,. American Bond Group, Inc. ("ABG"): Aleksandr Shvarts, New York, Ne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between FREDERICK J. WOLFE and HEATHER B. WOLFE. Claimants, vs. E. F. BUTTON AND CO., INC. and PETER PANOS, Respondents. r ) ) ) ) ) ) ) ) ) ) Case 187-02034 Award Heard before the members of the Arbitration Panel: Arthur J. Leibell, Esq. Arieh Leo Douer Leslie Bishop CASE SUMMARY This claim was filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jay A. Bozick (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 05-00569 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jay A. Bozick, hereinafter referred to as ("Claimant"): Jeffrey Liddle, Esq., and David I. Greenberger, Esq., Liddle & Robinson, LLP, New York, NY. Previously represente

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lee Rogers and Lillian F. Ingram vs. Case Number: 97-02224 Hearing Site: Detroit, Michigan Names of Respondents i Kensington Wells, Inc. and Bear Steams Securities Corporation NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES Lee Rogers and Lillian F. Ingram ("Claimants") were represented by Keith T. Murphy, Esq., Clarks

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard M. Clyne, an individual and as Trustee of The Robert M. Clyne Trust, Mary T. Clyne, as Trustee of the The Mary T. Clyne Trust, and Stella Clyne, an individual, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and William A. Cecil, Respondents Case Number: 04-06137 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member and Associated P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen S. Dyer, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 06-01301 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Bruce D. Oakes, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent: Aaron L. Danzer, Esq. Morgan Stanley DW Inc. Chicago, Illinois CASE INFORMATION Statem

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bassiony Rhima, (Claimant) vs. Donnelly & Co., L.L.C. (Respondent). Case Number: 99*03363 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Bassiony Rhima ("Claimant"): Stephen R. Marsh, Esq., The Zissman Law Firm, Dallas, TX. Respondent, Donnelly & Co., L.L.C. ("Respondent): Wayne M. Secore, Esq. and Kim Shauck, Esq., Secore & Waller, L.L.P., Dallas, Texas. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jeffrey Cohen Names of the Respondents Sterling Financial Investment Group, Inc. Alexis Korybut Case Number: 06-00343 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey Cohen, hereinafter referred to as "Claimant": Delmer C. Cowing, III, Esq., Law Offi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01776 First Montauk Securities Corp. Name of the Respondent Hearing Site: Orlando, Florida Manuel Larenas Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For First Montauk Securities Corp., hereinafter referred to as "Claimant": Joel Levinson, Esq., Assistant General Counsel, First Montauk Securities, Inc.,