Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce P. Guido, Bruce P. Guido SEP/IRA, Bruce P. Guido, Trustee Bruce P. Guido II, and Bruce P. Guido, Trustee Laura Elise Guido (Claimants) v. McDonald Investments, Inc., and Peter Plungas (Respondents) Case Number: 04-07468 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member Firm and Associated Person. REPRESENTATION OF PARTIES Claimants Bruce P. Guido ("G

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MTRS Portland, Inc., Jay Levy, and Diane Levy (Claimants) v. Citicorp Investment Services and Carol Dahl (Respondents) Case Number: 04-05608 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants MTRS Portland, Inc., ("MTRS") Jay Levy ("J. Levy"), and Diane Levy ("D. Levy") hereinafter co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03026 Aram Avanesyan, (Claimant) vs. Firstrade Securities Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Durham, NC. For Respondent appeared in-house counsel Peter E. Gschweng, Flushing, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 20, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to timely execute account transfer instructions. Claimant further a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc. (Claimant) v. Dennis McNamara and PNC Investments, LLC (Respondents) Case Number: 06-02619 Hearing Site: Newark, New Jersey Nature of the Dispute: Member v. Associated Person and Member REPRESENTATION OF PARTIES Claimant Bane of America Investment Services, Inc. hereinafter referred to as "Claimant": John O. Lukanski, Esq., Wo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irena Vodenska (Claimant) vs. J.P.P. Eurosecurities, Inc. (Respondent) Case Number: 06-02156 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Irena Vodenska hereinafter referred to as "Claimant": Piper Hoffman, Esq., Outten & Golden, LLP, New York, NY. Respondent J.P.P. Eurosecurities, Inc. hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02077 New Castle Financial Group, Inc., (Claimant) vs. John Rose, (Respondent) ATTORNEYS: For Claimant appeared in house counsel Brett D. Zinner, Esq., Melville, NY. Respondent did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 20, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract. Claimant fur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Stuart Kingoff (Respondent) Case Number: 06-01986 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Maxim Group LLC hereinafter referred to as "Claimant": James E. Siegel, Esq., Maxim Group LLC, New York, NY. Respondent Stuart Kingoff hereinafter referred to as "Respondent" appea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01469 John N. Montalbano, (Claimant) vs. Merrill Lynch, Pierce, Fermer & Smith, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Rocky Hill, CT. For Respondent appeared in-house counsel Stuart T. Rebish, Esq., New York, NY. NATURE OF DISPUTE: Customer vs Member DATE FILED: March 21, 2006 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were uns

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01400 First Montauk Securities Corp., (Claimant) vs. John Sullivan, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of the firm Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 10, 2006 CASE SUMMARY: Claimant alleged

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02699 Svetozar S. Stukovsky, Claimant vs. Frank Hickcox, II, GSP, Respondent. ATTORNEYS: Claimant, Svetokar S. Stukovsky, appeared Pro Se, Wasco, California. Respondent, Frank H. Hickcox, II. GSP, did not respond to the Statement of Claim. DATE FILED: May 22, 2001 CASE SUMMARY: Claimant alleged that respondent breached fiduciary duties. Claimant specifically alleged that respondent