Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Andrew Garrett, Inc., (Claimant) vs. John Buglino and Brian Buglino, (Respondents) Case Number: 00-02255 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Andrew Garrett, Inc., hereinafter referred to as "Claimant": Sheryl Anne Zuckerman, Esq., Singer Frumento, LLP, New York, NY. Respondent, John Buglino ("J. Buglino"), did not make an appearance in this mat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Palazzo, (Claimant) vs. Glenn Michael Financial, Inc. and Anthony P. Muratore, (Respondents) Case Number: 01-06126 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Anthony Palazzo, hereinafter referred to as "Claimant": Jeffrey D. Powell, Esq., Bracken, Margolin & Gouvis, LLP, Islandia, NY. Respondents, Glenn Michael Financial, Inc. ("GMF') and Anthon

Stipulated Award NASD Dispute Resoiution, Inc. In the Matter of the Arbitration Between: Edward S. Friedlein, (Claimant) vs. William Scott & Company, L.L.C. and Dominick Maiorano, (Respondents) Case Number: 99-05555 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Edward S. Friedlein, hereinafter referred to as "Claimant": Michael F. Bachner, Esq., Law Offices of Michael F. Bachner, New York, NY. Claimant originally appeared pro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants (irant Bunker & Adrienne Peterson 94-03689 Name of Respondents Francis P. Collins Christopher Clem Havard H Lee (Bankrupt) Hibbard Brown & Co. (Bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1994 Claimants Grant Bunker and Adrienne Peterson ("Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Dean E. Knecht and E.D. Knecht v. Name of Respondents Bill Weinstein, Roy Warren and Laifer, Warren & Co., Inc. NASD Arbitration No. 94-03688 For Claimants: For Respondents Roy Warren and Laffer, Warren & Co., Inc: For Respondent William Weinstein; REPRESENTATION Dean E. Knecht, In Pro Per Malibu, Cal

NASD. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marie L. Gray 94-03686 Name of 1 Pruco Securities Corp. James R. Foringer Nancy R. Lane CASE SUMMARV In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1994, Claimant Marie L. Gray, who'appeared Pro Se, alleged that on September 22, 1993, Respondent Nancy R. Lane ("Lane") introduced h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04403 Boris Kaplan, claimant vs. Shochet Securities, Inc., Vincent Bruno, Stephanie Bell, and Randy Shochet, respondents. ATTORNEYS: Claimant appeared pro se, Miami Beach, FL. For Respondents appeared Neil S. Baritz, Esq., of the firm Dreier Baritz & Coleman, Boca Raton, FL. DATE FILED: August 17, 2001 CASE SUMMARY: Claimant alleged that respondents placed untruthful remarks on

Finra FINRA DR In the Matter of Arbitration Between Case: Oppenheimer & Co., Inc. v Todd M. Blumenfeld Docket: 2006-016584 Attomeys: For Claimant(s): Megan Ellis - New York, NY For Respondent(s): Todd M. Blumenfeld - Westport, CT Date Filed: 8/28/2006 First Scheduled: 03/05/2008 Decided: 3/5/2008 Case Summary: Member firm claimant alleges breach of contract in connection with the failure to repay the balance due on a promissory note, for amounts

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Albany Corporation, (Claimant) vs. Robert Hiel, (Respondent) Case Number: 99-05355 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Albany Corporation, hereinafter referred to as "Claimant": Brian F. Mumford, Esq., Harvey and Mumford, Albany, NY. Respondent, Robert Hiel, hereinafter referred to as "Respondent", did not appear at the hearing

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Degama International Corp., (Claimant) v. Liss Tenner &. Goldberg Securities Corp., Glickenhaus & Co., Glickenhaus & Co. - New Jersey, First Institutional Securities Corp., Stanley Goldberg, and George Liss, (Respondents) v. Richard Bucher (Third Party Respondent) Case Number: 95-05506 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Degama International Corp