Award NASD Dispute Resolutipn, Inc. In the Matter of the Arbitration Between: Transamerican Acceptance Co., LLC v. Lehman Brothers, Inc. Case Number: 99-4665 Hearina Site: Southfield. Michigan REPRESENTATION QF PARTIES Claimant, Transamerican Acceptance Co.. LLC ('Transamerican"), hereinafter referred to as "Claimant": Seth Lipner. Esq., Deutsch & Lipner, Garden City, New York. Respondent. Lehman Brothers, Inc. ("Lehman"), hereinafter refen-ed to as "

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04928 Irene Ripamonti, claimants vs. Ameritrade. Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Aventura. Florida. For respondents appeared James J. Vihstadt of Ameritrade, Inc., Bellevue, NE. DATE HLED: November 2, 1999 CASE SUMMARY: Claimants alleged that after experiencing excessive.and repeated delays in accessing respondent's web site, she used

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Birn-Mar Ticlcets, Inc., (Claimant) vs. Bear Stearns & Co., Inc. and Daniel D'Amato. (Respondents) Case Number: 99-05351 Hearing Site: New Yc.k, New York REPRESENTATION OF PARTIES Claimant, Birn-Mar Tickets, Inc., hereinafter referred to as •'Claimant": William A. Rome. Esq., Hoffman Pollok & Pickholz LLP. New York, NY. Respondents, Bear Stearns & Co., Inc. ("Bear") and Dani

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Ayer and Eng Ayer, Claimants v. Todd M. Kuchar, Stephen G. Smeltzer, Robert G. Devore, Timothy C. Johnson, and First Union Securities, Inc., Respondents Case Number: 01-06375 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: JeffDennis Ferentz, Esq. Law Office of Jeff

Award NASD Dispute Resolutioii, inc. In the Matter of the Arbitration Between: A.G. Edwards & Sons, Inc., (Claimant) vs. Franldin Grey, (Respondent) Case Nimiber: 99-05618 Hearing Site: Albany, New Yorlc REPRESENTATION OF PARTIES Claimant, A.G. Edwards & Sons, Inc.. hereinafter referred to as "Claimant": Jeff Jamieson. Esq.. Vice President and Coimsel, A.G. Edwards & Sons, Inc., St. Louis, MO. Previously represented by: Norman S. Buclcvar, Esq., Litigatio

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE; 99-05670 William H. Walton, claimant vs. Olde Discount Corporation and James R. Helms, respondents. ATTORNEYS: For Claimant appeared Melanie S. Pearce, Esq., of the firm Perldns, Smith 8L Cohen, LLP, Boston, MA. For Respondent Olde Discount Corporation ("Olde") appeared in-house counsel, David S. Kempers, Esq., Boston, MA. Respondent James R. Helms ("Helms") did not respond to the State

Award NASD Dispute Resolution In the Matter of the Arbftration Between: Gerald Mazur, Tmstee of the Mazur Family Tmst; Kenneth Mazur, Ernest Mazur and Gerald Mazur as Co-Tenants, Claimants v. Lawrence E. Smith, Mustang Development Corporation, Fortress Securities. Inc. and Lazar Frederick & Company. Respondents Case Number: 94-04409 Hearina Site: Los Angeles, Califomia Nature of the Dispute: Customers vs. Associated Person, Non-Member and Members REPRESEN

Award NASD Dispute Resolution In the Matter of the Arbftration Between: Franklin Scheinmann (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smfth. inc. (Respondent) Case Number: 05-04246 Hearina Srte: Newark, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Franklin Scheinmann hereinafter referred to as "Claimant": Nicholas Bergamotto, Esq., Nicholas Bergamotto Attomey At Law, West Orange, NJ. Previously repr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard A. Topolewski (Claimant) vs. Citigroup Global Maricets. inc., f/k/a Smith Bamey & Co., Inc. (Respondent) Case Numben 03-07025 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard A. Topolewski hereinafter referred to as "Claimant": Steven R. Griffin, Esq., Beggs & Lane, Pensacola, FL. Respondent Citigrou

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01642 Saul C. Blum, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Monroe Township. NJ. For Respondent appeared in-house counsel Ret>ecca J. Nelson. Esq.. Nev,i York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 27,2006 CASE SUMMARY: Claimant alleged that Respondent breached a contrac :, breached its fiduciary duty and m