Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08467 Merton Segal Beverly Segal Names of the Respondents Hearing Site: Boca Raton, Florida Fahnestock & Co. Inc. n/k/a Oppenheimer & Co. Inc. Lee Hartzmark Bruce Hartzmark Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Merton Segal and Beverly Segal, hereinafter re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00386 Harold Rostow, claimant vs. Bishop, Rosen & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Henderson, NV. Respondent appeared through it Vice-President, Thomas Murphy, New York, NY. DATE FILED: January 22, 2001 CASE SUMMARY: Claimant alleged that respondents never notified him of the fees associated with transferring his customer account to another brokerage firm, there

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Keith Vaughn v. 04-08463 Denver, Colorado Respondents Multi-Financial Securities Corporation, Sander J. Ressler, David Alan Riggle, and Ronald Leslie Struhs and Counter-Claimant Multi-Financial Securities Corporation v. Counter-Respondent Keith Vaughn Nature of Dispute: Associated Person v. Member and Associated Persons and Member v. A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the (Tlflimant Mary E. Loughery Names nf the Respondents Legacy Financial Services, Inc. Joseph Reed Karsner, IV PaseNnmher- 04-08457 Hearing Site! Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTON OF PAKTTFS Claimant, Mary E. Loughery, hereinafter referred to as "Claimant", was represented by William

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: I Name of the Claimant Charles M. Howell Names of the Respondents American General Securities, Inc. LeroyJack Smith Case Number: 04-08451 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles M. Howell, hereinafter referred to as "Claimant": Lee Bowie, Esq., Davidson, B

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: ' Vernal Miller, as Trustee of the Miller Family Trust, • . ' Claimant, vs . Case Number: 04-08446 Essex & York, Inc.; Delta Asset Management; Robert J. Shoblock; and, Blake Justin Shanaphy, Respondents SITUS: Wichita, Kansas NATURE OF DISPUTE: Public Customer vs. Member Firm, Terminated Member Firm, Associated Persons. REPRESENTATION OF PARTIES: Vernal Mille

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08441 Capital Growth Financial, LLC Names of the Respondents Hearine Site: Boca Raton, Florida Independent Securities Investor Corporation Stephen Desiderio Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Capital Growth Financial, LLC ("CGF"), hereinafter referred to as "Claimant": Delmer C.

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Bhupendra Patel, Claimant vs. Gregory Mumtaz Hasho, Respondent Case Number: 04-08439 SITUS: Charlotte, North Carolina NATURE OF DISPUTE: Customer v. Associated Person REPRESENTATION OF PARTIES: Bhupendra Patel, hereinafter referred to as "Claimant": Darryll Walter Bolduc, Esq., The Bolduc Law Firm, PLLC, Charlotte, North Carolina. Respondent did not enter an appearance in th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: JP Morgan Securities, Inc. (Claimant) v. Charles B. Rowley III (Respondent) Case Number: 04-08434 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant JP Morgan Securities, Inc. ("JP Morgan") hereinafter referred to as "Claimant": Michael H. Theodore Esq., Cohn & Dussi, LLC, Burlington, MA. Respondent Charles B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 04-08428 Wachovia Securities, LLC Name of the Respondent Hearing Site: Alan Gomelsky Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTTKS Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Jonathan E. Levine, Esq., Law Offices of Daniel S. Fiore,