NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07088 Martin and Stephanie Reingold, (Claimants) vs. Quick and Reilly, Inc., Allen Rosenberg, Patrick Dowden and Frederick Warren, (Respondents) ATTORNEYS: Claimants appeared pro se, Oceanside, NY. For Respondents appeared Russel D. Francisco, Esq., of the firm Wolff & Samson PC, West Orange, NJ. Quick and Reilly, Inc., Allen Rosenberg, Patrick Dowden and Frederick Warren are hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patti Schachter Margolis and Shana Elissa Margolis (Claimants) v. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Faye Morton (Respondents) Case Number: 04-07052 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Patti Schachter Margolis ("P. Margolis") and Shana Elissa Margolis ("S. Margolis") her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kurds Fechtmeyer, Claimant v. Pacific Growth Equities, LLC, Richard H. Osgood, HI and George J. Milstein, Respondents Case Number: 04-07045 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William F. Murphy Dillingham & Murphy, LLP San Francisco, California For Respo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Santander Securities Corporation of Puerto Rico Case No. 01-00305 Name of Respondent Roberto R. Werner Hearing Site: San Juan, Puerto Rico REPRESENTATION OF PARTIES For Santander Securities Corporation of Puerto Rico (" Santander"), hereinafter referred to as "Claimant": Graciana Gonzalez, Esq. of Correa, Collazo, Herrero, Jiminez & Fortuno, San

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00605 Michael J. Pfeifer, claimant vs. Brian James Zimmerman and Andrew Garrett Sycoff, respondents. ATTORNEYS: Claimant Michael J. Pfeifer, appeared Pro Se., Jersey City, NJ. Respondent Brian James Zimmerman, appeared Pro Se, New York, NY. Respondent Andrew Garrett Sycoff appeared Pro Se, New York, NY. DATE FILED: February 10, 2000 CASE SUMMARY: Claimant alleged respondent cha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Magdalena Cruzval Names of the Respondents Morgan Stanley DW, Inc. Diana Castillo Case Number: 04-07039 Hearing Site: San Juan, Puerto Rico Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Magdalena Cruzval ("Cruzval"), hereinafter referred to as "Claimant": Scott L, Silver, Esq., Blum & Silver,

CASE: 04-07032 First Montauk Securities Corp., (Claimant) vs. Michael Curran, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of 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: September 23, 2004 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by failing to repa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07026 Georgina Hagel Names of Respondents Hearing Site: Boca Raton. Florida Deutsche Bank Securities, Inc. Alex Brown & Sons, Inc. B.T. Alex Brown, Inc. (aka D.B. Alex Brown, LLC) Deutsche Bank, LLC David P. Brown Ferris, Baker Watts, Inc. Arthur McGinnis Geoff Brent Mackey Hughes Tim Schweitzer Nature o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07021 Elissa Leif and David Nather JT TEN and Elissa Leif IRA, Claimants v. Morgan Stanley DW, Inc., Lisa Kittner, Erik Penney, and Dennis Baxter, II, Respondents ATTORNEYS: Claimants Elissa Leif and David Nather JT TEN and Elissa Leif IRA (collectively "Claimants") appeared pro se through Elissa Leif, Silver Spring, MD. For Respondents Morgan Stanley DW, Inc., Lisa Kittner, Erik Penney, and

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07020 Lynn H. Alosi and Lynn H. Alosi IRA, Claimants v. Joseph Bowden, Financial Network Investment Corp., and T.H.E. Financial Group, Ltd., Respondents ATTORNEYS: " " ~~~ " Claimants Lynn H. Alosi and Lynn H. Alosi IRA (collectively "Claimants") appeared pro se, Shippensburg, PA. For Respondents Joseph Bowden, Financial Network Investment Corp., and T.H.E. Financial Group, Ltd. (collect