N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard A. Moeller 96-02964 Name of Respondents Richard C. Cioffi, Jr. State Street Capital Markets Corp Christopher A. Carra (Settled) Donald Sedy (Settled) CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on April 11, 1996, claimant Richard A. Moeller ("claimant") who a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities Inc 96-02963 Name of Respondent Jeffrey Liss CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 11, 1996, claimant JW Charles Securities ("JWC") through its representative and in-house counsel Gregory Tendrich, Esq. alleged that respondent Jeffrey Li

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Raymond and Dianna Rogers 96-02960 Name of Respondents Dean Witter Reynolds, Inc. John Tekeser CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July Hy 1996, claimants Raymond and Dianna Rogers ("claimants or D. Rogers"), who appeared Pro Se, alleged that respondents Dean Witter Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05114 Janney Montgomery Scott, LLC, claimant vs. Adam F. Igberman a/k/a Adam Ingberman, respondent. ATTORNEYS: For Claimant, appeared Nicholas K. Notias, Esq., of the firm Capetanakis and Preite: New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: November 17, 2000. CASE SUMMARY: Claimant alleged breach of contract when Respondent failed to pay his

Arbitration & Mediation National Association of Securities Dealers.Inc. * NASD Financial Center * 33 Whitehall Street * New York,NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimants Caroline & Robert N. Leentjes and Caroline Colie 96-02959 Name of Respondents Duane Ohly CASE SUMMARY In a claim fi

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Nardo Zaias / Nardo Zaias C/F Julia Zaias Nardo Zaias and Magaly Zaias Nardo Zaias C/F Julia Zaias Magaly Zaias Magaly Zaias C/F Alessa Zaias Magaly Zaias C/F Pedro Zaias Biophile, USA 96-02956 Names of Respondents Shochet Securities, Inc. Diane P. Dymek Leila Kay Shuminer REPRESENTATION Fo

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Marvin Osman v. Arbitration No. 96-02952 Name of Respondents David Weiss, John Klingenmeier, Roger Chlowitz , and Richard Gill REPRESENTATION For Claimant: Ricki C. Ring, Esq. Jay R, Stein, Esq. Law Offices of Ricki C. Ring Los Angeles, California For Respondent David Weiss: David Weiss In Pro Per Northridge, California For Respo

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between John S. Harada Claimant NASD Regulation, Inc. No. 96-02948 vs. Respondents William K. Woodruff, III William K. Woodruff & Company, Inc. RERESENATION OF For Claimant: David H. Zimmer, Esq., Potomac, Maryland, and Edward A. Jaffe, Esq., Torkildson, Katz, Fonseca, Jaffe, Moore & Hetherington, Honolulu, Hawaii For Respondents: Corb

NASD REGULATION, INC. AWARD Case No. 96-02946 In the Matter of the Arbitration Between Name of Claimant x Roger Muniz Names of Respondents Duke & Co., Inc. Charles Bennett REPRESENTATION For claimant Roger Muniz ("claimant") appeared Eric Ross, Esq. of the law offices Fischbein Badillo Wagner Harding located in New York, New York. For respondents Duke & Co., Inc. ("Duke") and Charles Bennett ("Bennett") (collectively "respondents

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Jaim A. Bailey 96-02944 Name of Respondents Lehman Brothers, Inc. Lehman Government Securities, Inc. Timothy Jay Mark Polhill Munir Dauhajre REPRESENTATION Claimant Jaim A. Bailey ("Bailey") appeared pro se. Claimant was previously represented by Anthony Ferrarra of the law offices of Polstein, Ferrara & Dwyer, P.C. located in New York, New