Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephanie Gal, (Claimant) vs. Brian A. Fried and Glenn Michael Financial, Inc., (Respondents) Case Number: 99-00021 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stephanie Gal, hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feiner, Yamin, Gildin & Robbins LLP, New York, NY. Claimant originally appeared pro se. Respondents, B

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mary Jo Carman Case No. 99-00018 Names of Respondents Smith Barney, Inc. Michael Smith REPRESENTATION OF PARTIES For Claimant: Vincent J. D'Antonio, Esq., Fort Lauderdale, FL. For Respondents Smith Barney, Inc. ("Smith Barney") and Michael Smith ("Smith"): Bradford D. Kaufman, Esq. and Joseph C. Coates, III, Esq. of Greenberg Traurig,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ali and Pamela Pakzad, Claimants v. Dalton Kent Securities Group, Inc., Alan Elkes, Glenn Beyer, Justyn Feldman, John Vandy, and Howard Nifoussi, Respondents. Case Number: 99-00008 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents Dalton Kent Securities Group, Inc., Alan Elkes, Glenn Beyer, Justyn Feldman, and John Vandy: Fo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daniel C. Warren and Beulah J. Warren, (Claimants) vs. J. B. Oxford & Co. and Matthew Woodruff, (Respondents). Case Number: 98-04870 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants, Daniel C. Warren and Beulah J. Warren, hereinafter {collectively} referred to as "Claimants" were represented by David S. Sprawls, Esq., of the UAW-Ford Legal Services Plan, Loui

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03247 Paul Peterson, Claimant vs. E*Trade Securities, Inc., Respondent. ATTORNEYS: Claimant, Paul Peterson, ("Claimant"), appeared Pro Se, Plantation, FL. Respondent, E*Trade Securities, Inc., ("Respondent"), appeared through its Compliance Officer, Lori Davis, Palo Alto, CA. DATE FILED: July 25, 2000. CASE SUMMARY: Claimant alleged that on April 10, 2000, he opened a $1,000 cash a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Trend Trader, L.L.C., Claimant v. Ryan Litchfield, Cindy Litchfield, and IBT Management Corporation, Respondents Case Number: 98-03948 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Michael Salcido, Esq. Law Offices of Michael Salcido Phoenix, Arizona For Respondents: Joe Wishcamper, Esq. Law Offices of Joe Wishcamper Snohomish,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jeffrey B, and Janet Lewis, (Claimants) vs. Dean Witter Reynolds, Inc., Glen K. Kashetsky, and Jill Bobigan, (Respondents) Case Number: 98-03947 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Jeffrey B. and Janet Lewis, hereinafter collectively referred to as "Claimants": Michael F. Rachner, Esq., Bachner & Gehn, New York, NY. Respondents, Dean Witter Reynolds, In

AWARD . NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants John A. McGowan and Nancy McGowan and 98-03942 Denver, Colorado Name of Respondents A S . Goldmen & Co., Inc. Karim Michael Lamarti Miguel Angel Rodriguez David Harris Karson Anthony John Marchiano and Stuart Edward Winkler _ . _ __ REPRESENTATION OF John A. McGowan and Nancy McGowan ("Claimant") was represented by Richard A. Nervig;-£sq.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Leor Zahavi, (Claimant) vs. Armondo Ruiz, Dwight Sean Jones, Sunrise Capital Management LLC, ETA Management, Inc., Amaroq Management Company LLC, Amaroq Financial Services LLC, ING Baring Furman Selz LLC, Bear, Stearns & Company, Inc., and First Montauk Securities Corp., (Respondents) Case Number: 98-03935 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Leor Z

AWARD NASD Regulation, Inc. CASE: 98-03933 Fahnestock & Co. Inc., claimant vs. Stephan L. Kaye, respondent. ATTORNEYS: For claimant Fahnestock & Co. Inc., appeared in-house counsel, Eric J. Shames, New York, NY. Respondent Stephan L. Kaye appeared Pro Se., Boca Raton, FL. DATE FILED: 10/21/1998 CASE SUMMARY: Claimant alleged respondent failed to repay a promissory note for $3,000.00 when he withdrew his acceptance of employment. Claim Data A