NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Saul L. Victor 95-02867 Name of Respondents Gruntal & Co., Inc. Julian Irwin Stoopler Evan Russell Stoopler Ehrenkrantz, King, Nussbaum, Inc. REPRESENTATION For claimant Saul L. Victor ("claimant") appeared David E. Robbins, Esq., of the law offices Kaufman, Feiner, Yamin, Gildin & Robbins, located in New York, New York. For respondents Gruntal & Co., Inc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant George Castelli Name of Respondent Wedbush Morgan Securities NASD Arbitration No. 95-02862 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: CASE INFORMATION Claimant's Submission Agreement signed: Statement of Answer filed by Respondent: Respondent's Submission Agreemen

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Kevin Katchmar 95-02842 Name of Respondents Hanover Sterling & Co. Paul Medaglia Lowell Schatzer REPRESENTATION For claimant Kevin Katchmar ("claimant") appeared John E. Lawlor, Esq., a sole practitioner from Mineola, New York. For respondent Paul Medaglia ("Medaglia") appeared Scott M. Zucker, Esq., a sole practitioner Great Neck, New York. Responden

N.A.S.D.AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f • \ •• Name of Claimant •;: •;'). r ti ;-..:•;'.;..,; i WilliamR. Cargill r ; 2i, A 95-02819 Name of Respondents ; : \ i;i ; r Joseph Roberts & Co., Inc. - , ; : : ; Michael E. Knight • " • • • - • • i ' • • • * • . _ • - • • - i In a claim filed with t

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant. Albert Bertalmio, as Trustee for the Albert Bertalmio Trust and 95-02812 Name of Respondents Bear, Stearns & Co., Inc.; Peter Babilla. REPRESENTATION OF PARTIES For Claimant: Claimant Albert Bertalmio, as Trustee for the Albert Bertalmio Trust ("Bertalmio"), was represented by Stuart D. Periman, Esq. of Perlman & Hovitz in Chic

AWARD NASD Regulation, Inc. Office,of Dispute Resolution In the Matter of the Arbitration Between - Triliis Jacks, Claimant, and No. 95-02763 Brokers Investment Corp, Daniel H. Steinberg, Norman Shubert, Martin W. May, and Thomas Steven Shubert Respondents. REPRESENTATION OF PARTIES Claimant Triliis Jacks was represented by Martin J. Gofberg of Securities Arbitration Centers, Inc. located in Fort Lauderdaie, Florida. Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00972 Peter and Grace Margarita, claimants vs. Wall Street Equities, Inc. respondent. ATTORNEYS: Claimants appeared Pro Se, Commack, NY. For Respondent appeared Ronald Berti, Director of Compliance, New York, NY, DATE FILED: February 27, 2001 — CASE SUMMARY: Claimants alleged that respondents made trades in his cash account that exceeded the amount of cash he had in his account at

TrO- '' i 'Hlh N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Graham >^ ^" ~ "" * il>* 95-02752 * ^ * ^ m Name of Respondents r * Smith Barney Shearson, Inc. Desmond Judge REPRESENTATION For Claimant, Patricia Graham ("Graham"): Steven A. Baker, Esq., of Allan & Shipp, P.A., St. Petersburg, Florida. For Respondents, Smith Barney Shearson ("S

NASD REGULATION, INC. AWARD ,-* OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Natalie Herman 95-02712 Name of Respondents Gibraltar Securities Co. Andrew Brietbart REPRESENTATION For Claimant Natalie Herman ("Claimant") appeared Morgan W. Bentley, Esq. in private practice, located in Newark, New Jersey. For Respondents Gibraltar Securities Co. ("Gibralter") and Andrew Brietbart ("Breitbart")(c

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant- American Petroleum Institute 95-02252 Name of Respondent Kidder, Peabody & Co., Incorporated Jeff Bartlam REPRESENTATION Claimant American Petroleum Institute ("Claimant") was represented by William J, Bethune, Esq., Marsh Fleischer & Quiggle, Bethesda, MD Respondents Kidder, Peabody, & Co. , Incorporated ("Kidder Peab