Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank D. Fauci (Claimant) v. Wachovia Securities, LLC (Respondent) Case Number: 04-08051 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Frank D. Fauci, hereinafter referred to as "Claimant": Stuart Schlem and Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Wachovia Securities, LLC, h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aldo Scavuzzo and Richard Addeo (Claimants) vs. Prudential Securities, Inc., n/k/a Prudential Equity Group LLC (Respondent) Case Number: 04-08048 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Aldo Scavuzzo ("Scavuzzo") and Richard Addeo ("Addeo"), hereinafter collectively referred to as "Claimants" appeared pro

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven Marcus, (Claimants) vs. Bear Stearns & Co., Inc. and Samuel Masucci, (Respondents) Case Number: 01-00371 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Steven Marcus, hereinafter referred to as "Claimant": Scott S. Balber, Esq., Kelly & Balber LLP, New York, NY. Respondent, Bear Stearns & Co., Inc. ("Bear"): Arthur D. Felsenfeld, Esq., Andrews &

89-03494 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration between Vanessa L. Menke Claimant and Power Securities Corporation, Jeff Brown, :Sheppard Shapiro, Richaid Harcheae, Eric Montchecourt, Orville Sandberg, Rafco and Joseph HcOonough Respondents REPRESENTATION OF PARTIES Claimant was represented by Jeffrey 6. Brown, Esq. of Shannon Law Offices, Chicago, Illinois. Respondents Jeff Bro

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08046 Ryan Beck & Co., (Claimant) vs. Lori B. Seelig, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Jeffrey Cohen, Esq., Livingston, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 19, 2004 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Kevin Michalczewski, Kenneth Grebenstein and John D'Amico, Claimants v. Tom Morgan and Adele Horgan, Trustees of the Horgan Family Trust U/A dtd 11/4/96, Respondents Case Number: 04-08039 Hearing Site: San Francisco, California Nature of the Dispute: Member and Associated Persons v. Customers REPRESENTATION OF PARTIES For Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08034 Mitchell Alexander Janet Alexander Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mitchell Alexander and Janet Alexander, hereinafter collectively referred to as "Claimants": Patrick A. Davis, Esq., Clearwater, Florida. Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08028 First Montauk Securities Corp. Name of the Respondent Hearing Site: Boca Raton, Florida Scott Weissman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For First Montauk Securities Corp. ("Montauk"), hereinafter referred to as "Claimant": Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Andre Lewis Williams Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 04-08025 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Andre Lewis Williams, hereinafter referred to as "Claimant": Micha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08018 Surin Colonel Name of the Respondent Hearing Site: Orlando, Florida. Ameritrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Surin Colonel, hereinafter referred to as "Claimant", appeared pro se. For Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Ameritrade, Bellevue,