Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Khaled Zafar, (Claimant) vs. Gruntal & Co., L.L.C. and John Wyshak, (Respondents) Case Number: 99-03743 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Khaled Zafar, hereinafter referred to as "Claimant": Richard W. Vallario, Esq., a sole practitioner, Nutley, NJ. Respondents, Gruntal & Co., L.L.C. ("Gruntal") and John Wyshak ("Wyshak"), hereinafter co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian P. Deshur, (Claimant) vs. Heartland Securities Corporation, (Respondent) Case Number: 01-05964 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Brian P. Deshur, hereinafter referred to as "Claimant": Thomas A. Holman, Esq., Starr & Holman, LLP, New York, NY. Respondent, Heartland Securities Corporation, hereinafter referred to as "Respondent": Matthew H

AWARD NASD Regulation, Inc. CASE: 98-02882 Michael John Beddard, claimant vs. CIBC Oppenheimer, respondents. ATTORNEYS: Claimant appeared Pro Se - New York, NY. For Respondent appeared in-house counsel, Michelle Murphy, Esq., New York, NY. DATE FILED: August 10, 1998 CASE SUMMARY: Claimant alleged Respondent failed to pay him commission & expenses that he is owed. ARBITRATOR'S REPORT: Qalm for Compensation Mr. Beddard makes a claim for compe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patricia R. Opalka, (ClaimanO vs. A.S. Goldmen & Co., Scott Taylor, Angelo Scifo, Stacy Meyers, Mark Sanfilippo, Stephen Kaplan, John Messina, Vincent Carraciolo, Salvatore Marchiano, Anthony J. Marchiano, and Stuart E. Winkler, (Respondents) Case Number: 98-04478 Hearing Site: New York, New York REPRESENTATION OF PARTffiS Claimant. Patricia R. Opalka, hereinafter referred to

NASD REGULATION, INC. AWARD In the Matter of tlie Arbitration Between Daniel J. Carroll 95-05096 Greenway Capital Corporation Investors Associates, Inc. Gerald Casli McNeil REPRESENTATION For Claunant Daniel J. Carroll ("Claimant") appeared David A. Lewis, Esq., a sole practitioner located in Monistown, New Jers^. For Respondent Greenway Capital Corporation ("Greenway") appeared Ruthann G. Niosi, Esq., a sole practitioner located in New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peyton Frazier Smythe, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 03-02219 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: Cedric Troncoso, Esq. Canoga Park, California Kevin J. Fitzgerald, Esq. Jones Bell Abbott Fleming & Fitzgerald Los Angeles, Calif

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William D. Webb, Claimant v. Fidelity Brokerage Services LLC, Respondent Case Number: 06-03780 Hearing Site: Dallas, Texas Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: Richard A. Lewins, Esq. Burg Simpson Eldredge Hersh Jardine, PC Dallas, Texas Cameron S. Matheson, Esq. LeClair Ryan Richmond, V

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02835 North American Clearing, Inc. Names of the Respondents Kenneth Jerome & Co., Inc. Robert Kaplon Legent Clearing, LLC Names of the Third Party Respondents Hearing Site: Oriando, Florida John Busacca Richard Goble Nature of the Dispute: Member vs. Member and Associated Pereon. REPRESENTATION OF PARTIES For North Americ

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jack L. Levandowski vs. Case Number: 03-08268 Hearing Site: Denver, Colorado Names of Respondents Wachovia Securities, Inc. and Phillip T. Kirshman NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Jack L. Levandowski ("Claimant") was represented by Paul G, Bursiek, Esq., Law Office of Paul G. Bu

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Te-Ying Lee vs. Names of Respondents Comerica Securities, Inc., Christopher James Cueter, and Patrick Kevin Lee Case Number: 06-01948 Hearing Site: Detroit, Michigan i^ATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Te-Ying Lee ("Claimant") appeared in pro per until on or about April 7,2006. As of