Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph H. Ciantar, Claimant v. WM Financial Services, Inc. and Lisa Ann Lighthipe-Hinz, Respondents Case Number: 02-06386 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent WM Financial Services, Inc. For Respondent Lisa Ann Lighthipe-Hinz: Jonathan W. Evans, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Marilyn Bost v. 02-06381 Denver, Colorado Respondents Presidential Brokerage, Inc., James B. Campbell, Michael W. Speer, Daniel G. Lempe, and John A. DuPriest Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Marilyn Bost ("Claimant") was represented by Robert A. Lees, Esq., of Robert A. Lees & Associates, Castle R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: E*Trade Securities, LLC, Claimant v. John Michael O'Connor and Tammy Lynn O'Connor, Respondents Case Number: 02-06379 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: John Bersin, Esq. E*Trade Securities, LLC Rancho Cordova, California Respondents did not appear. CASE INFORMATION Statement of Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel D'Onofrio, Jr. (Claimant) v. Richard Vangel and Salomon Smith Barney, Inc. (Respondents) Case Number: 02-06377 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Samuel D'Onofrio, Jr. ("D'Onofrio") hereinafter referred to as "Claimant": Todd H. Lampert, Esq., Lampert, Williams & Toohey, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Melvyn M. Nizny, MD, Individual IRA Rollover and Cincinnati Center for Psychoanalysis PEN/PS Plans f/b/o Melvyn M. Nizny, MD (Claimants) v. Edward T. Kennedy and The Sachs Company (Respondents) Case Number: 02-06374 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Melvyn M. Nizny, MD, Individual

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William P. Abbott (Claimant) v. McDonald Investments, Inc. and Douglas Sanker (Respondents) Case Number: 02-06373 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant William P. Abbott ("Abbott") hereinafter referred to as "Claimant": David B. Webster, Esq., Webster & Webster, LLP, Cleveland, OH. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp. (Claimant) v. Peter Salvato (Respondent) Case Number: 02-06371 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant First Montauk Securities Corp. ("First Montauk") hereinafter referred to as "Claimant": Joel Levinson, Esq., First Montauk Securities Corp., Red Bank, NJ. Respondent P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis Onyema, (Claimant) vs. GunnAllen Financial, Inc., Phil Michals, and Dave M. McCoy, (Respondents) Case Number: 02-06366 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dennis Onyema, hereinafter referred to as "Claimant": appeared pro se. Respondents, GunAllen Financial, Inc. ("GunnAllen"), Phil Michals ("Michals"), and Dave M. McCoy ("McCoy")* hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marcia Kaufman, (Claimant) vs. Bear, Steams & Company; Bear, Stearns Securities Corp.; M.A. Berman & Co., and Meyer Berman, (Respondents) Case Number: 00-04110 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Marica Kaufamn, hereinafter referred to as "Claimant": Issac M. Zucker, Esq., Syosset, NY. Respondents, Bear, Stearns & Company, ("BS&C") and Bear, Stea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06365 First Montauk Securities Corp., claimant vs. John Hawley, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Robert I. Rabinowitz, Esq., Red Bank, NJ. Respondent appeared pro se, Bellport, NY. DATE FILED: October 23, 2002 CASE SUMMARY: Claimant alleged that respondent failed to pay monies owed under a Promissory Note, Claimant maintained that due to respondent's actions