Finra FINRA DR In the Matter of Arbitration Between Case: Robert G. Stein v. Prudential Securities Inc. v. Robert G. Stein Docket: 2004-015047 Attomeys: For Clainiant(s): Alexander J. Palamarchuk - Elkins Park, PA For Respondent(s): Thomas Kavaler - New York, NY Date Filed: 2/9/2004 First Scheduled: 05/01/2006 Decided:!-2 4-08 Case Summary: Non-Member Claimant alleges wrongful termination, defamation, violation of Massachusetts State Unf

Award NASD In the Matter of the Arbitration Between: John A. Gribben and Donna C. Gribben, Claimants v. PFIC Securities Corporation, Sanjay Prasad, and Joel Kaye, Respondents Case Number: 01-04272 Hearing Site: Boca Raton, Florida For John A. Gribben and Donna C. Gribben, hereinafter referred to as "Claimants": Nicholas J. Guiliano, Esq., Philadelphia, PA. For PFIC Securities Corporation ("PFIC"), Sanjay Prasad ("Prasad"), and Joel Kaye ("Kaye"), he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. Claimant v. Mark J. Sheehy, Respondent Case Number: 05-05746 Hearina Site: Phoenix, Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Kane & Fischer, LTD. Chicago, Illinois Respondent did not enter an appearance in this matter. CASE INFORIVIATION Statement of Claim filed: N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Reich & Co., Inc. (f/k/a Vantage Securities Inc.) V. 94-05100 Albert L. Barbara V. Fahnestock & Co., Inc. REPRESENTATION For Claimant Reich < S c Co.. Inc.: Robert H. Fees of the law firm of Akin, Gump, Strauss, Hauer and Feld. New York. NY. For Respondent Alben L. Barbara: Dan Brecher, Esq., New York. NY. For Third-Party Respondem F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wanging Cao & Zeyu Quo 94-05097 Name of Resix?ndent Pacific Brokerage Services Inc. CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on December 6, 1994, Claimants Wanging Cao & Zeyu Guo, who appeared Pro Se, alleged that Respondent, Pacific Brokerage Services, Inc., purchased the wrong stock for their account. Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph A. Cartwne 94-05095 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1994, Claimant Joseph A. Carbone, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., misiepresented an investment to him. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph L. Stanley 94-05094 Name of Respondent Bear Steams Securities Corp. CASBSVMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Deceoiber 6,1994, Claimant Joseph L. Stanley, who appeared Pro Se, alleged that Respondent Bear Steams Securities Corp. ("BSSC"), the clearing agent for D. Blech &.

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of^the Arbitration Between Name of Claimant Pauli & Company 94-05090 Garv Millner In a claim filed with the National Association of Securities Dealers, Inc. on December S, 1994, Claimant, Pauli & Company ("Pauli"), through its counsel Daniel G. Vogel, Esq., of Gallop, Johnson & Neuman, L.C., St. Louis. Missouri, alleged that on October 12, 1994 Respondent, Gary MiUner ("Milln

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Shandelman 94-05085 Name of Respondents Jordan Belfort Daniel M. Porush Stratton Oakmont Inc. Dimitrios P. Houstafis Kenneth S. Greene REPRESEMTATION Claimant Richard Shandelman ("Claimant") was represented by Timothy J. Dennin, Esq., New York, NY. Respondents Jordan Belfort ("Belfort"), Daniel Porush ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tiie Aibitration Between Josephine Blackwell as tiustee for the Calabrese Family Tmst and Josephine and Arthur Blackwell, individually 94-05082 Name of Respondentf s) Melvin Donald Heixell NationsSecurities, Inc. For Claimants the Calabrese family Tmst, Josephine Blackwell, tinstee ("the Tmst*) and Josephine and Arthur Blackwell, individually ("the Blackwells"): Arthu