Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Sousa, Jr., Claimant v. David C. lubelt and U.S. Bancorp Investments, Inc., Respondents Case Number: 06-00583 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Offices of David Liebrader Las Vegas, Nevada For Respondent David C. lubelt: Terry J. Thomas, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beverly Goodman, Henry Goodman, and Steven Goodman (Claimants) v. John R. Weiss and Morgan Stanley DW Inc. (Respondents) Case Number: 03-07524 Hearing Site: New York, New York Nature of the Dispute: Customers v. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Beverly Goodman ("B. Goodman"), Henry Goodman ("H. Goodman"), and Steven Goodman ("S. Goodman") hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Schunmann and Ruth Schunmann (Claimants) vs. Donald Sowa and Commonwealth Financial Network (Respondents) Case Number: 04-03322 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants William Schunmann ("W. Schunmann") and Ruth Schunmann ("R. Schunmann") hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Duffus and Paulette Surges (Claimants) vs. Morgan Stanley DW, Inc. and Marc Taubin (Respondents) Case Number: 06-01790 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Henry Duffus ("Duffus") and Paulette Burges ("Surges") hereinafter collectively referred to as "Claimants": Richard Devit

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael A. Jones, (Claimant) vs. Discover Brokerage Direct, Inc., Knight Securities, Inc., and Morgan Stanley Dean Witter & Co., (Respondents) Case Number: 99-03597 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael A. Jones, hereinafter referred to as "Claimant": Steven B. Caruso, Esq., Maddox Koeller Hargett & Caruso, New York, NY. Respondent, D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard P. Steinberg (Claimant) vs. Goldman Sachs & Co. (Respondent) Case Number: 05-05775 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard P. Stinberg hereinafter referred to as "Claimant": Rodney J. Heggy, Esq., Federman & Sherwood, Oklahoma City, OK. Respondent Goldman Sachs & Co., hereinafter ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC and Wachovia Corporation (Claimants) vs. Matthew S. Taub and Jason T. Weissman (Respondents) Case Number: 04-08553 Hearing Site: New York, New York Nature of the Dispute: Member and Non-Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimants Wachovia Securities, LLC ("Wachovia Securities") and Wachovia Corporation ("Wachovia") hereinafter coll

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03330 Barry Robert Smuckler, (Claimant) vs. Ehrenkrantz King Nussbaum, (Respondent) ATTORNEYS: Claimant appeared pro se, Plainview, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: July 18, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by failing to pay owed compensatio

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dennis Kurtz vs. Case Number: 05-05587 Hearing Site: Dallas, Texas Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Incorporated NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Dennis Kurtz ("Claimant") was represented by Ronald M. Amato, Esq. and James J. Eccleston, Esq., Shaheen, Novoselsky, Staat, Fliipowski & Eccl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Josephine M. McClure vs. Name of Respondent Intrust Brokerage Inc., f/k/a Intrust Financial Services, Inc. Case Number: 06-04647 Hearing Site: Wichita, Kansas NATURE OF THE DISPUTE Customer vs. Terminated Member REPRESENTATION OF PARTIES Josephine M. McClure ("Claimant") was represented by Dale Ledbetter, Esq., Adorno & Yoss, Fort Lauderd