NASD REGULATION, INC. AWARD In tfae Matter of the Aibitration Between Name of Claimant Smith Barney Inc. 97-02581 Name of Respondent Ambrose Magliocco REPRESENTATION For Claimant Smith Bamey Inc. ("Claimant") appeared Michael Braunstein, Esq., of the law offices of Marie J. Alonso, P.C, located in New York, New York. Respondent Ambrose Magliocco ("Respondent") did not enter an appearance in this matter. CASE INFORMATION Claimant's St

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04369 Billy F. Shoots, Trust dtd 6/29/94 Claimant vs. Joseph J. Gauer, Jr. and Morgan Stanley DW, Inc., f/k/a Dean Witter Reynolds, Inc., Respondents. ATTORNEYS: Claimant, Billy F. Shoots, Trust dtd 6/29/94, ("Claimant"), appeared pro se, through its Trustee, Billy F. Shoots, Belton, MO. Respondents, Joseph J. Gauer, Jr. and Morgan Stanley DW, Inc., (collectively "Respondents"), ap

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia L. Jerry, (Claimant) v. Windham Financial Services, Inc., William A. Chase, Paul D. Mendelsohn and Robert P. Donlan (Respondents) Case Number: 01-04368 Hearing Site: Albany, New York Nature of Dispute: Customer v. Member and Associated Persons RFPRF.SFNTATTON OF PARTIES Claimant, Patricia L. Jerry, hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq.,

Finra FINRA DR In the Matter of Arbitration Between Case: Riverside Military Academy, Inc. v. A.G. Edwards and Sons, Inc. Docket: 2006-016653 Attomeys: For Claimaiit(s): Scott Link David Weintraub - West Palm Beach, FL For Respondent(s): William S. Port - St. Louis, MO Date Filed: 12/20/2006 First Scheduled: 12/14/2007 Decided: 2/20/08 Case Summary: Customer Claimant alleges mismanagement, negligence, violations of NASD and NYSE rules, unsuitabl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04365 Terry Kubiak Names of the Respondents Hearing Site: Tampa, FL StockDr.Com, Inc. Sean D. Casterline J.P. Yarusinski Michael Merbach Michael Gold Lee A. Siler Nature of the Dispute: Customer vs. Non-Member and Associated Person. REPRESENTATION OF PARTIES For Terry Kubiak, hereinafter referred to as "Claimant

FINRA DR In the Matter of Arbitration Between Case: Gregg D. Templeton v Morgan Stanley DW, Inc. Docket: 2006-016565 Attomeys: For Claimant(s): Jenice L. Malecki - New York, NY For Respondent(s): Bradford D. Kaufinan - West Palm Beach, FL Date Filed: 8/2/2006 First ScJieduled: 12/19/2006 Decided: 2/1/2008 Case Summary: Registered Representative Claimant against his former employer alleging defamation by maliciously amending Claimant's U-4 fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carol J. Beckham Case Number: 01-04364 Names of Respondents All-Tech Direct Inc., f/k/a All-Tech Investment Group, Inc. SWS Securities, Inc., Harvey I. Houtkin, Brad H. Houtkin, Vincent A. Esposito, and Harry M. Lefkowitz Hearing Site: Clayton, Missouri REPRESENTATION OF PARTIES For Carol J. Beckham hereinafter referred to as "Claimant"

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURIIIES DEALERS In the Matter of the Aibitration Between Name of Claimantfs) Robert G. LeSage 94-04761 Name of Resoondentfs) Olde Discount Corporation Craig L. Stevens CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Noyraiber.9, 1994, Claimant Robert G. LeSage, who ^ypeaied pro se, alleged that .Respondents Olde Discount Corporation ("Olde") and Craig L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Nitmff«f< ;7laimiiffts Paul and Dolores Andrus 94-04760 Name of Respondents Cowen & Company Michael Weiss David Aaron Green CASE SUMMARY In a claiin filed with the National Association of Securities Dealers, Inc. on Novembers, 1994, Claimants Paul and Dolores Andius, through their representative, Robert E. Schaffetj allied that Responden

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Lillian B. Jacobson, individually and as Trustee of the Lillian B. Jacobson Revocable Trust dated 3/21/78 and 94-04758 Name of Respondent Cowen & Company Bernard Neuman REPRESENTATION OF PARTIES Lillian B. Jacobson, individually and as Trustee of the Lillian B. Jacobson Revocable Trust dated 3/21/78 ("Claimant") was repre