CASE: 04-07032 First Montauk Securities Corp., (Claimant) vs. Michael Curran, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 23, 2004 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by failing to repa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07026 Georgina Hagel Names of Respondents Hearing Site: Boca Raton. Florida Deutsche Bank Securities, Inc. Alex Brown & Sons, Inc. B.T. Alex Brown, Inc. (aka D.B. Alex Brown, LLC) Deutsche Bank, LLC David P. Brown Ferris, Baker Watts, Inc. Arthur McGinnis Geoff Brent Mackey Hughes Tim Schweitzer Nature o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07021 Elissa Leif and David Nather JT TEN and Elissa Leif IRA, Claimants v. Morgan Stanley DW, Inc., Lisa Kittner, Erik Penney, and Dennis Baxter, II, Respondents ATTORNEYS: Claimants Elissa Leif and David Nather JT TEN and Elissa Leif IRA (collectively "Claimants") appeared pro se through Elissa Leif, Silver Spring, MD. For Respondents Morgan Stanley DW, Inc., Lisa Kittner, Erik Penney, and

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07020 Lynn H. Alosi and Lynn H. Alosi IRA, Claimants v. Joseph Bowden, Financial Network Investment Corp., and T.H.E. Financial Group, Ltd., Respondents ATTORNEYS: " " ~~~ " Claimants Lynn H. Alosi and Lynn H. Alosi IRA (collectively "Claimants") appeared pro se, Shippensburg, PA. For Respondents Joseph Bowden, Financial Network Investment Corp., and T.H.E. Financial Group, Ltd. (collect

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James Del Hauncher, Joanne Gray Hauncher, James Del Hauncher Trust and Joanne Gray Hauncher Trust and 04-07014 Phoenix, Arizona Name of Respondents Edward D. Jones & Co. Scott L. Wirgau Christian Weekly Baker Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES James Del Hauncher, Joanne Gray Hauncher, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bill Fuqua, Debra Fuqua, Bill Fuqua IRA, Debra Fuqua IRA, Donald Fuqua and Lavonne Fuqua, Claimants v. Citigroup Global Markets Inc., Respondent Case Number: 04-07012 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: For Respondent: David Gaba, Esq, Compass Law Group PLLC Seattle, Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adam Matthew Tirado (Claimant) v. PHD Capital, Jody Eisenman, Peter Hoffman, Nelson Braff, Christopher Howard Jacobsen, Jack Wilson, Anthony Knox, Jordan Ched Gelb, Josh Griffiths, Rick Jones, John Wong, Brian Schwartz, and Ron Itin (Respondents) Case Number: 04-07008 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant 1325 Wilson LLC and 04-07006 Chicago, Illinois A.G. Edwards & Sons, Inc. Daniel Benninghoven, n Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES 1325 Wilson LLC ("Claimant") was represented by Will B. Jones, Esq., Messer & Stilp, Ltd., Chicago, Illinois. A.G. Edwards & Sons, Inc. ("Respondent") and Daniel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paul C. Spoelstra and 04-07001 Chicago, Illinois Name of Respondent John I. Moore Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Paul C. Spoelstra ("Claimant") was represented by Anthony Paduano, Esq., and Willard Knox, Esq., Paduano & Weintraub, LLP, New York, New York. John I. Moore ("Respondent") was r

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00303 CCJ Trust Mittersill Investment Partners Names of the Respondents Hearing Site: Boca Raton, FL CIBC World Markets Corp. Emanuel A. Scarso Joseph C. Quattrochi LCP Capital Corp. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For CCJ Trust ("CCJ") and Mittersill Invest