NASD Regulation, Inc. In the Matter of the ArbirrationBeiween Name of Claimant Nabeel Hasan 97-04521 Name of Respondents Maidstone Financial. Inc.; John Verga; Marshall Alan Bernstein; and Michael Brad Newman Name of Third-Party Respondent Joshua G. Berch REPRESENTATION For Claimant: Nabeel Hasan ("Hasan") appeared pro se. For Respondents: Maidstone Financial, Inc. rMadstcns") 2nd Marshall Bernstein ("Bernstein* 1 ) d

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Bernadette Morio v. Name of Respondent^s) Investors Associates, Inc. F. Xavier Poirier REPRESENTATION For Claimant: Christian Morio 'San Francisco, California For Respondent Investors Associates: Lawrence R. Gelber, Esq. Hackensack, New Jersey For Respondent Xavier Poirier: Robert L. Gonser, Esq.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03963 Mark C. King, claimant vs. First Cambridge Securities Corp., Kenneth Orr, Barry Robinson, Jeff Shuster and BiU Arcuri, respondents. ATTORNEYS: Claimant appeared Pro Se. - Atianta, GA For Respondents First Cambridge Securities Corp. and Kenneth Orr appeared Mark Bauman New York, NY. Respondent Barry Robinson appeared Pro Se - Brooklyn, NY. Responden

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03915 Joe Williams, claimant vs. Nichols, Safina, Lemer & Co. Inc., and Sean Muiphy, respondents. ATTORNEYS: Claimant appeared Pro Se, Martinez, GA. For Respondents appeared Evan L. Gordon,. Esq., New York, NY. DATE FILED: August 7, 1997 CASE SUMMARY: Claimant alleged that respondents failed to execute his sell order in a timely manner. Claim Data Award

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert C. Bonds 95-02410 Name of Resp_ondent Paul D. Hamm CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on May 19, 1995, Claimant Albert C. Bonds ("Claimant"), who appeared Pro Se, alleged that Respondent Paul D. Hamm ("Respondent"), refused to return his phone call concerning a transfer o

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas Joyce 97-04516 Name of Respondents Foster Jeffries Securities Corp.; Steven L. Karno; and : Sean McManus REPRESENTATION For Claimant: Thomas Joyce ("Joyce") was represented by David A. Genelly, Esq., of Fishman & Merrick, P.C., and Stephen B. Diamond, Esq., of Beeler Schad & Diamond, P.C., bo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James S. Pappas f Claimant vs. Duke & Co., Inc. and Peter Papaemmanuef. Respondents Case Number. 97-04513- Hearing Site: Houston , TX REPRESENTATION OF PARTIES Claimant. James S. Pappas, hereinafter referred to as "Claimant", was represented by Delmer C. Gowing IN, Delmer C. Gowing IIJ P.A., Delray Beach Fl. Respondent Duke & Co. was represented by Gersten, Sav

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants') Arizona Tomato, LLC, and Frank A. Cosentino 97-04512 Name of Respondent^ - Cortlandt Capital Corporation, a/k/a Greenway Capital Corporation, J.B. Oxford & Company, Robert Lawrence Tucker, Barney Kowalski, Alan Mandel, Joseph Guccione, and Fred R. Luthy REPRESENTATION Claimants Arizona Tomato, LLC, and Frank A. Cosentino (AClaiman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02262 Raymond L. Hill, Claimant vs, Merrill Lynch, Pierce, Fenner & Smith, Respondent. ATTORNEYS: For Claimant, Raymond L. Hill, ("Claimant"), appeared Matthew E. Bates, Esq., Greensboro, NC. Respondent, Merrill Lynch, Pierce, Fenner & Smith ("Respondent"), appeared through its in-house counsel, Ellen Sheridan-Cona, Esq., New York, NY DATE FILED: May 30, 2000 CASE SUMMARY: Clai

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Anton Pilz vs. Case No. 97-04510 Name of Respondents HGI ( a/k/a The Harriman Group, Inc. and HGI Inc.) Thomas R. Fede Scott H. Follett Frank J. Casillo Steven Hanna Mark Hanna Joseph Tuozzo REPRESENTATION For Claimant Anton Pilz ("Claimant") appeared Robert Melamed, Esq., a sole practitioner located in Brooklyn, New York. Respon