NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Zahra Martin and 97-05353 Name of Respondent Smith Benton & Hughes, Inc ; Michael Zaman Claudia Zaman REPRESENTATION OF PARTIES Zahra Martin (''Claimant") was represented by Stephen J. Hensen, Esq., Richman & Hensen, P.C., Denver, Colorado. Smith Benton & Hughes, Inc. ("Respondent SBH"), Michael Zaman ("Respondent Michael Zaman"), and Claudia Za

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimant Abraham Mirman vs. Case No. 97-05350 Name of Respondents Kensington Wells Incorporated Elias Tacher Sal Tacher Steven Vornea Adam Levy REPRESENTATION For Claimant Abraham Mirman ("Claimant") appeared Michael P. Gillmore, Esq., of the law offices Wexler & Burkhart, P.C. located in Mitchel Field, New York. By letter dated December 7,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05344 Eric B. Biondi and Trader Ric L.P., claimants vs. All-Tech Investment Group, Inc., and Southwest Securities. Inc., respondents. ATTORNEYS: For Claimant appeared Eric B. Biondi, Esq., Nyack, NY. For Respondent All-Tech Investment Group, Inc., appeared Linda Lerner, Esq., Montvale, NJ. For Respondent Southwest Securities, Inc., appeared Timothy J. Goodwin,

JW. 3.2000 5:15PM NASD BOCfl . r NO.234 P.2 Amended Award NASD Regulation, foe. In the Matter of the Arbitration Between Name ef Claimant J. David Hatcher" NASD Caw No. 97-05342 Names of Respondents Northeast Securities, Inc., Henry Irvin Judy, Jr. and Racdi Mason REPRESENTATION OF PARTIES Claimant, J, David Hatcher ("Hatcher"), hereinafter referred to as "Claimant**; Mark J. Krudys, Esq., Mark J. Kiudys, PLC, Richmond, Virgi

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant June Bomstein Case No. 97-05335 Names of Respondents Dean Witter Reynolds, Inc. Michael J. Bergold Alfred Caliendo REPRESENTATION OF PARTIES For Claimant June M. Bornstein ("Bomstein"): Scott M. Zucker, Esq., Lake Success, New v York. For Respondents Dean Witter Reynolds, Inc. ("Dean Witter"), Michael J. Bergold ("Bergold"

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mark I. Klein 97-05334 Name of Respondent E-Trade Securities Inc. REPRESENTATION OF PARTIES For Claimant: Mark I. Klein represented himself pro se. For Respondent: Ekwan E. Rhow, Esq., Bird, Marella, Boxer & Wolpert, Los Angeles, California. CASE INFORMATION Claimant's Statement of Claim was filed on

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Bruce A. and Mary A. Buehler Case No. 97-05332 Name of Respondents Mathieu Chamberlain Josephthal, Lyon & Ross, Inc. REPRESENTATION Claimants Bruce A. and Mary A. Buehler ("Claimants") represented themselves. Respondents Mathieu Chamberlain ("Chamberlain") and Josephthal Lyon & Ross, Incorporated ("JLR") was represented James C. Cosby, Esq. of the

Award NASD Regulation, Inc. In the Matter of the Arbitration Between nf Claimant David F. Dalton vs. Case No. 97-05329 Name of Respondents Salomon Smith Barney , Inc. Robert Matthews James B. Kenary, Jr. James B. Kenary, HI Joseph J. Plumeri, II Hugh O'Hare James Dimon, Jr. Smith Barney Financial Consultant Deferred Benefit Plan Smith Barney Branch Manager Deferred Compensation Plan REPRESENTATION OF PARTIES Claimant

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimants Robert J. MUtleman Harvey Gelfenbein vs. Case No. 97-05328 Name of Respondents Oscar Gruss & Son Oscar Gruss & Son, Incorporated REPRESENTATION For Claimants Robert J. Mittleman ("Mittleman"; and Harvey Gelfenbein ("Gelfenbein") (collectively "Claimants") appeared Leslie D. Corwin, Esq., of the firm Greenburg Traurig Hoffman Lipoff Rosen & Quen

G'5/20/2005 14:35 FAX NASD 1002/009 11/20/2018 02;59 FAX Award NASD Dispute RwoiutiOD In tho Matter of tfceAilidtration Between; ; 100-02350 BfflyKrott Lloyd McGowea Mfvtndjprttq Hnifig^c: DflHas, Texas Han^rton-Porter, Investment Banker IXC; JobnW.Lsaricnti; JohnD.Baroeise; James D. Green, IT.; and* DanMoClure PnWic Custdra^r v. Tennindted Member Firm «adAsaod*W Claimant Billy Knott ("KnotT)' Was origbnaUy repreaentcd by Dan