Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas E. Missler, Claimant vs. Spectmm Securities and Donald Brooks, Respondents. Case Number: 98-5012 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Thomas E. Missler (hereinafter referred to as "Claimant"): Steven Goldberg, Esq., Greenberg Traurig, LLP, 1925 CenturyPark East, Suite 2200, Los Angeles, CA 90067. Respondents, Spectrum Securities and

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Nerses Daglian and Karine Daglian, Claimants v. Interfirst Capital Corporation, Roman L. Reznik, and Raisa S. Reznik, Respondents Case Number: 98-05004 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants Nerses Daglian and Karine Daglian: For Respondents Roman L. Reznik and Interfirst Capital Corporation: CASE INFORMATION Statement of Claim fil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carmelina M. Grasso (Claimant) v. Patterson Travis, Inc. and Steve Colli (Respondent) Case Number: 98-05001 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Terminated Member and Associated Person. REPRESENTATION OF PARTIES Claimant Carmelina M. Grasso ("Grasso") hereinafter referred to as "Claimant": Bmce A. Langer, Esq., New York, NY. Previously/7/-o se. Re

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Name of Claimants F. Christopher and Donna A. Scudder Case Number: 98-04998 Hearing Site: Philadelphia, PA Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Claimants F. Christopher and Donna A. Scudder, hereinafter collectively referred to as "Claimants,' were represented by F. Christopher Scudder, who appeared pro se. Respondent Ameritrade, Inc., hereinaf

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Elias Katz, (Claimant) vs. Deutsche Bank Securities, Inc. and Kevin Ingram, (Respondents) Case Number: 98-04995 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Elias Katz ("Katz"), hereinafter referred to as "Claimant": Paul D. Sarkozi, Esq., Squadron, Ellenoff, Plesent & Sheinfeld, LLP, New York, NY. Respondent, Deutsche Bank Securities, Inc. ("Deutsche"): Lawren

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christopher Ho, (Ciainiani; vs. Kuuus Melville Securities Corp. and «!< -'?'• r?!em^" f^. '^o inc., (Respondents) vs. Marcus Marino (Third-Party Respondent) Case Number: 98-04994 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Christopher Ho, hereinafter referred to as "Claimant": Ira Daniel Tokayer, Esq., Coleman & Rhine LLP, New York, NY. Respondent,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Roth, HI (Claimant) vs. GKN Securitities Corp. and Research Partners International, inc. (Respondents). Case Number: 98-04988 Hearing Site: San Francisco, Califomia. REPRESENTATION OF PARTIES For Claimant: Cary S. Lapidus, Esq., The Law Offices of Cary S. Lapidus, San Francisco, Califomia. For Respondents: Philip A. McLeod, Esq., Keesal, Young & Logan, San Francisco, Califomi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carole White, Gregory White and Jonathan White, (Claimants) vs. Arthur Lewis and CIBC Oppenheimer Corp. (Respondents) Case Number: 99-03811 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Carole White, Gregory White, and Jonathan White, hereinafter collectively referred to as "Claimants": Matthew J. Sava, Esq. and Michael I. Allen, Esq., Shapiro Forman &

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Antoni Nizioiek and Helena Nizioiek, (Claimants) vs. Christopher L. Miano, and PCM Securities, LTD n/k/a Royal Palm, (Respondents). Case Number: 98-04984 Hearinti Site: New York, NY REPRESENTATION OF PARTIES Claimant(s), Antoni Nizioiek and Helena Nizioiek, hereinafter collectively referred to as "Claimants" appeared Pro Se., Plainville, CT. Respondent, Christopher Miano, did not

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bruce D. Gulick, (Claimant) vs. Michael Christie and Gerald Cremins, (Respondents). Case Number: 98-04982 Hearine Site: New York, New York REPRESENTATION OF PARTIES Claimant Bruce D. Gulick appeared pro se. For Respondents Michael Christie ("Christie"), and Gerald Cremins ("Cremins") hereinafter collectively referred to as "Respondents": Kevin T. Duffy, Esq., A.ssi.stant Vice Presiden