Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ladenburg Capital Management, Inc, (Claimant) vs. Daniel Haim, (Respondent) Case Number: 02-04028 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Ladenburg Capital Management, Inc., hereinafter referred to as "Claimant": David Hirschberg, Esq., Wexler & Burkhart, P.C., Mitchel Field, NY. Respondent, Daniel Haim hereinafter referred to as "Respondent": appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terence Peckhani, Executor of The Estate of Charles C. Bourgeois and successor Trustee of The Charles.C. Bourgeois Revocable Living Trust dated August 13, 1990, Claimants vs. Dean Witter Reynolds, Inc., Morgan Stanley Dean Witter & Co. (both n.k.a. Morgan Stanley DW, Inc.), James C. Specht, Rodel Corriente, and Kemal Askia, Respondents • Case Number: 02-04026 Hearing Site: San F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf ftf*. Plpjmarit rasfiTsInrflfrpr- 02-04025 Nathan L. Gappelberg Hiring Sitf Dallas, Texas A.G. Edwards & Sons, Inc.; and, Larry LMagid Public Customer v. Member Firm and Associated Person Claimant Nathan L, Gappelberg, hereinafter referred to as "Claimant": Alan J. Harlan, Esq., of the firm of Hance, Scarborough, Wright, Ginsberg & Brusilow, located in Dal

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gerald McGrath vs. Case No. 97-06013 Names of Respondents Maidstone Financial, Inc. Paul Levy Marshall Bernstein Michael L. Accuro REPRESENTATION For Claimant Gerald McGrath ("Claimant") appeared Michael A, Collora, Esq. of the law firm Dwyer & Collora, LLP, located in Boston, Massachusetts. Respondent Maidstone Financial, Inc. ("Maidstone")

•*,-• AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ^ Piper Jaffray, Inc. and 97-06007 Name of Respondent Jerome A. Rossel REPRESENTATION OF PARTIES Piper Jaffray, Inc. ("Claimant") was represented by Brian S. Hellberg, Esq., Piper Jaffray, Inc., Minneapolis, Minnesota. Jerome A. Rossel ("Respondent") was represented by John B. Kinsellagh, Esq., Medfield, Massachuse

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ves Zadro 97-06006 Name of Respondents H J. Meyers & Co., Inc. Salomon Smith Barney Inc. Rodman & Renshaw, Inc. Wilson J. Rondini Robert Alan Bade Francis Leo Kirby, III REPRESENTATION Claimant Ves Zadro ("Zadro") was represented by Paul Schofield, Esq. of Siebel, Whipple & Schofield located at 70 West Madison Street, Three First National Pl

NASD REGUUTION AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Lacey O'Quinn, and, Mary Lou Q'Quinn, Claimants, v. No. 97-06003 OLDE Discount Corporation, and Scott Sullivan, Respondents. REPRESENTATION OF PARTIES Claimants Lacey O'Quinn and Mary Lou O'Quinn ("Claimants") were represented by Laurence S. Schultz, Esq. and Michael T. Reid, Esq, of Driggers, Schultz & Herbst located in Troy, Michigan. Respon

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Raymond C. Pohl, Claimant, v. No. 97-05999 Nichols Safina Lemer & Co., Inc., and David M. Light, Respondents. REPRESENTATION OF PARTIES Claimant Raymond C. Pohl ("Claimant") appeared pro se. Respondent Nichols Safina Lerner & Co., Inc. had filed for bankruptcy protection and did not appear in this matter. Respondent David M. Light ("Resp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-05996 Douglas A. Cole, claimant vs. Euro Atlantic Securities, John Brezeese and Edward Merchado, respondents. ATTORNEYS: Claimant Douglas A, Cole ("Claimant"), appeared Pro Se., Milford, NJ Respondents Euro Atlantic Securities, John Brezeese and Edward Merchado (collectively "Respondents"), did not respond to Claimant's Statement of Claim DATE FILED: Decem

Award NASD In the Matter of the Arbitration Between: Richard Dodd and Pamela Dodd, JT, Jamie A. Quick and Pamela Dodd, JT, Pamela Q. Dodd custodian for Deanna J. Quick, and Pamela Dodd, IRA, Claimants v. Morgan Stanley Dean Witter Inc. and Stephen Slattery, Respondents Case Number: 00-02801 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Richard Dodd and Pamela Dodd, JT, Jamie A. Quick and Pamela Dodd, JT, Pamela Q. Dodd custodian fo