AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants James M. Kane and Marilyn Kane v. Name of Respondents Cruttendon Roth, Inc. Tibor Komoroczy Arbitration No. 96-05772 REPRESENTATION For Claimants: For Respondent Cruttendon Roth, Inc.: Jeffrey L. Gaffney, Esq. Law Offices of Jeffrey L. Gaffney San Diego, California John R. Loftus, Esq. Keesal, Young

N.A.S.D. REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Joshua Slovik 96-05769 Name of Respondents ^Wasserstein Perella & Co., Inc. Wassertein Perella Group, Inc. REPRESENTATION For Claimant Joshua Slovik ("claimant") appeared Robert L. Begleiter, Esq. of the law firm of Constantine & Partners located in New York City, New York. For Respondents Wasserstein Perella & Co., Inc. and Wasserstein Perella Group, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:Oi-01416 Gwyn Staton, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Seattle, WA, For Respondent appeared Karen Smith, Compliance Officer, Rancho Cardova, CA. DATE FILED: March 20, 2001 CASE SUMMARY: Claimant alleged that respondents failed to properly sign her up for an E*Trade airline mileage account. Claimant maintained that respondent sent h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, EMC. CASE: 00-00729 Olde Discount Corporation, Claimant vs. Diane Baroni, Respondent. ATTORNEYS: Claimant, Olde Discount Corporation, ("Claimant"), appeared in-house counsel, Michael P. Knittel, Detroit, MI. Respondent, Diane Baroni ("Respondent"), did not respond to the Statement of Claim. DATE FILED: February 18, 2000 CASE SUMMARY: Claimant alleged that Respondent incurred a debit balance in h

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert W. Finley, M.D., in his personal capacity; Robert W. Finley, M.D., as Trustee for the Robert W. Finley Retirement Trust; and Tamara Finley, as Trustee for the Robert W. Finley Retirement Trust v. Name of Respondents Cruttenden Roth, Inc. and Timothy Hasseli Arbitration No. 96-05768 For Claimants: For Responde

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Marcella M. Branch, Claimant, and No. 96-05765 Stifel, Nicolaus & Co., Inc., and John Benefiel, Respondents. REPRESENTATION OF PARTIES Claimant, Marcella M. Branch, was represented by Randall K. Calvert, Esquire, located in Oklahoma City, Oklahoma. Respondents, Stifel, Nicolaus & Co., Inc. and John Benefiel, were represented by Bart A, Boren, Es

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ahmed Dia Hussein, (Claimant) vs. Dean Witter Reynolds, Inc., (Respondent) Case Number: 96-05764 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Ahmed Dia Hussein, hereinafter "Claimant": John J. Phelan, Esq., New York, NY. Respondent, Dean Witter Reynolds, Inc., hereinafter referred to as "Respondent": Bradford D. Kaufman, Esq., Greenberg Traurig, P.A., West Palm Beach

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05756 Alan H. Stein, claimant v. Michael Eugene Kingraan, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Rego Park, NY. Respondent appeared pro se - New York, NY. DATE FILED: 12/26/96 CASE SUMMARY: Claimant alleged misrepresentation in the sale of warrants for Leak-X Environmental Corp. and stock in American Complex Care, Inc. Claim

SIMPLIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #96-05754 GKN Securities Corp. v. Scott Brown ATTORNEYS: For Claimant: Katherine Nathan, Esq. of GKN Securities Corp., ("GKN") New York, New York. Respondent Scott Brown did not appear. DATE FILED: December 2, 1996 CASE SUMMARY: Claimant alleged that Respondent Brown entered into an Association Agreement with GKN on June 7, 1993 and by the terms of the Association

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05752 Peter Kotzer, claimant vs. First Hanover Securities, Inc. and Brandt Mandia, respondents. ATTORNEYS: For Claimant appeared L Alexander Davidson, Esq., of the law firm Carroll, Carroll, Davidson, Franklin and Young, Syracuse, NY. For Respondents appeared Charles M. Q'Rourke, Esq., Garden City, NY. DATE FILED; December 26, 1996. CASE SUMMARY: Claimant