Steven D. Stern Chartered Financial Analyst 202-248-1762 Steven D. Stern, CFA > Resumé > Arbitration, Deposition, & Trial Testimony Since 1993 202-248-1762 305-979-4015 (Cell) SternInves@aol.com Office Address Suite #328 4600 Connecticut Ave. NW Washington, DC 20008 202-248-2298 (Fax) Mail Box 4401-A Connecticut Ave. NW PMB #213 Washington, DC 20008 U.S. Post, FedEx and UPS accepted at both addresses. <print contact information> <print page> Post 1993 Arbitration, Deposition and Trial Testimony History of Steven D. Stern, CFA Depositions Leora White vs. Raymond B. Cahoon and Anchor National Financial Services Inc. Et al Case No. 4:95CV374-B-B (N.D. Miss.) Frederick, et al v. FirstMerit Corporation et. al. Stark Co. (Ohio) Common Pleas Case No. 1997 CV 02577 Martz, et. al. v. Martz, et. al. Summit Co. (Ohio) Common Pleas Case No. CV 98 07 2845 Bearden v. Bergeron & Plauche' Adams Co. (Mississippi) Circuit Court No. 00-KV-0118-S Shaw v. SunTrust Arbitration Case No. 1001-J.J. Reed (Orlando, FL) Personal Representatives of Estate of Galinsky v. First Union Nat. Bank Circuit Court, Fourth Judicial Circuit Duval Cty FL #99-002813-CA Securities and Exchange Commission v. Ginsburg U.S. District Court Case #99-8694-CIV-RYSKAMP (S.D.Fla.) Claude Ward v. Atlantic Security Bank Eleventh Judicial Circuit Miami-Dade, FL 97-00878 (01) Dana Roth, as Primary Beneficiary and Co-Trustee of The Sanford Roth Trust v. Union Planters Bank, et al., 17TH Judicial Circuit Broward Cty., FL. Case No. 01-12853-14 IN RE: The Estate of Milton Gerber, Rona Lynne Petitioner vs. Norman Lieberfreund, Individually and as Personal Representative of the Estate of Deceased and as Trustee of Revocable Trust, Respondent, 11th Judicial Circuit Miami-Dade County, Florida Probate Division Case No. 99-803 CP (04) Adversary No. 01-4762 CP (04) Gene H. Swenson vs. Oxford Bank & Trust, U.S. District Court Northern District of Illinois Eastern Division Case #03 C 0036 Milton Steinman vs. Deutsche Bank Florida, N.A. Circuit Court of the 15th Judicial Circuit Palm Beach County, Florida Case #502002CA006124XXONAE Thomas M. Divenere v. Wachovia Corporation et.al., U.S. District Court for the District of South Carolina Charleston Division Case No. 2:03-1950-23 Gloria Pepper Marks, Carol Ann Pepper Turner, and Jessica Pepper Bloom v. Donald S. Rosentberg, Peckar & Abramson, Rosenberg, Reisman & Stein, LLP; and Rosenberg, Reisman & Stein; Circuit Court of the 11th Judicial District, Miami-Dade County #02-32540 Nahmad, Lankau & Weinberger, P.A. Pension Fund v. Northern Trust Bank of Florida, U.S. District Court Southern District of Florida Miami Division Case no. 04-21409-CIV-Moreno/Garber- (2 separate depositions) Clark Lasalle and Mirella Lasalle v. Northern Trust Bank of Florida, N.A., Circuit Court of the 11th Judicial Circuit In and For Miami-Dade County, Florida Case No. 04-18375CA 05 May Lipschutz v. Mellon Financial Corporation d/b/a Mellon Private Asset Management and Mellon Private Trust Company, National Association in the Circuit Court of the Eleventh Judicial Circuit in and for Miami-Dade County, Florida Case# 04-0011274 CA 24 Stephen Jellerson v. Northern Trust Bank of Florida, N.A., Circuit Court of the 11th Judicial Circuit in and for Miami Dade County, Florida Case No.: 03-04494 CA 24 Merrill Lynch Trust Company, FSB v. Mary F.C. Campbell, individually and as Trustee for the Mary F.C. Campbell Trust and as beneficiary of the Mary F.C. Campbell Charitable Remainder Unitrust Court of Chancery of the State of Delaware in and for New Castle County Civil Action No.: 1803-VCN William Lawarre, et al. vs. Fifth Third Bank Hamilton County, Ohio Court of Common Pleas Case No. A0909076 Volftsun, Landy et al. vs. Wilmington Trust Company et al. Chancery Court for The State of Delaware C.A. No. 4635-VCL B2X Corporation, Inc. vs. The PNC Financial Services Group, Inc., PNC Bank, N.A., Murray A. Barnett, and James Hill Superior Court of New Jersey, Law Division. Hudson County Civil Action No. HUD-L-005880-10 Timothy A. Lea, Theodore A. Lea, Kay L. Fontaine, and Marsha J. Cunningham, as beneficiaries of The In Toto Amendment and Restatement of the Trust Indenture of Harlan L. Lea (Claimants) vs. The Northern Trust Company (Respondent) Ref. No. 1440003365 Cheryl A. Mann, and Ida S. Mann, Helene Mann Johns, Robin M. Robinson, and Karen Kramer vs. BNY Mellon Orphans' Court Division, in the Court of Common Pleas, Montgomery County, Pennsylvania No. 0078-0526 Johns Wu, Plaintiff v. The Bank of New York Mellon and Johns Webb, Defendants, Superior Court of the State of California for the County of Los Angeles Case No. BC576382 Arbitrations Lilia Rodriguez v. Prudential Securities Inc. and Fernando Leyva NYSE docket 1999-007715 Shaw v. SunTrust Arbitration Case No. 1001-J.J. Reed (Orlando, FL) Mattick Family Partnership Ltd. v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and J. Judd Peterson. NASD Arbitration Case. No. 01-02128 William R. Eggers and Marion Eggers, his wife v. Morgan Stanley Dean Witter, Inc. and Daniel Ruffier NASD Case. No. 01-02052 Ashley Kaye, individually and as trustee v. UBS Paine Webber Inc and Isadore Friedman NYSE docket 01-09524 Marc and Marita Young v. Prudential Securities and Jeffrey M. Winston NASD Case No. 01-05918 Estate of Robert Danks v. Merrill Lynch, Pierce Fenner and Smith NASD Case No. 01-06242 William C. Polumbo and Nancy E. Polumbo v. Robert W. Baird & Co. and William Elett NASD Case No. 02-01745 Michael Palko and Rose Anne Palko v. Morgan Stanley Dean Witter NASD Case 02-02481 Albert & Marjorie DiPaola v. K. W. Brown Investments and Ken Brown individually and 21st Century Advisors Inc. NASD Case No. 02-00410 Vuni and Ruth Barmash v. Morgan Stanley Dean Witter NYSE Docket # 2002-009999 Kovack Securities, Inc. v. Howard P. Murray NASD 02-05557 Rosikon & Waldanska v. Josephthal & Co. NASD 02-04609 Donna Sonnes v. Vector Money Management, In the Circuit of Hynes County 1st Judicial District Case No. 251-03-1007 CIV Kenneth Hayden & Joanne Cameron v. K.W. Brown Investments and Kenneth Brown NASD 02-04604 Melvyn M. Nizny, MD and Cincinnati Center for Psychoanalysis Pension/Profit Sharing Plans v. Edward T. Kennedy and The Sachs Company NASD 02-06374 Diane and Ken Potter v. K.W. Brown Investments and Kenneth Brown NASD 02-04604 Thor and Krista Johnson v. Morgan Stanley Dean Witter and Eric Johnson NASD 02-04222 Mark Ditchkus v. Morgan Stanley Dean Witter NASD 02-04809 Donald E. Campbell v. Morgan Stanley Dean Witter NASD 03-03383 Stephen L Schwartz v. Merrill Lynch NYSE Case no. 2003- 011921 Nancy Stafford-Myers, et al. v. Janney Montgomery Scott, et al NASD No. 03-04168 Bonnie Watson v. Robert W. Baird & Co. and Gordon Owens NASD No. 03-04694 Joseph Errico v. Bank of America Corporation, Bank of America, N.A.,Larry Aft, and Bank of America Capital Management, LLC JAMS Reference No.:1400008354 Howard Greenberg v. Salomon Smith Barney NASD No. 03-08-683 Gary A. Friedman v. Merrill Lynch Pierce Fenner & Smith, Inc. NASD No. 03-06176 John Curran v. UBS Financial Services NASD No.04-01432 Harvey Blum vs. Morgan Stanley Dean Witter NASD Case #03-07396 Denise M.Zagnoli v. Morgan Stanley Dean Witter NASD Case #04-00286 James and Barbara Hillard v. Bank of America American Arbitration Association Case No: 32Y 148 00440 04 John & Geraldine Sykes v. Wells Fargo Bank, N.A. & Private Client Services Case No. 72 Y 148 01026 03 VMD Rodney L. Vaughan and Deborah J. Vaughan v. Suntrust Securities, Inc.and James Blake Buchanan, Jr. NASD Case #04-06112 Patrick Diesu v. Rocco Spaccio; Sunpoint Asset Managers, Inc., d/b/a Sunpoint Asset Management, Inc.; and Lasalle St. Securities, L.L.C., NASD Case # 04-03101 Mary F. C. Campbell, Individually and as Trustee for the Mary F.C. Campbell Trust and as Beneficiary of the Mary F.C. Campbell Charitable Remainder Unitrust v. Merrill Lynch, Pierce, Fenner & Smith, Inc. NASD Case 05-01670 Marta E. Palomo v. Merrill Lynch Pierce Fenner & Smith, Inc. NASD Case No. 04-05341 Harold Goldberg v. Citibank D/B/A Citicorp Investment Services NASD Case No. 05-01231 Leonel Abay v. Morgan Stanley DW Inc. And David Louis Burg; NASD Case No. 05-00444 Mildred Fullford v. Merrill Lynch Pierce, Fenner & Smith Inc., and Richard J. Sane NASD Case No. 05-01561 Judy Schulman and Murray Bieda v. Brookstreet Securites Corporation, National Financial Services LLC, Jason Woessner, Jason Zwibel, Stanley C. Brooks, individually and as Trustee of the Brooks Family Trust, Scoot S. Brooks, Mark A. Atchity, and Julie Mains FINRA-DR No. 07-01346 Nancy Lifter Wolin vs. Citigroup Global Markets, Inc. NASD Arbitration No. 06-01615 Thomas and Colleen Finwall vs. Alexander Read Investment Management, Inc. American Arbitration Association, Securities Arbitration Case No. 33-435-Y-469-08 C&C Patterson Trust U/A December 21, 1976 vs. Century Securities Associates, Inc. (wholly-owned subsidiary of Stifel Financial Corporation) FINRA No. 08-00622 Walter and Carol Bell, individually, jointly and on behalf of any IRA, trust or other custodial accounts vs. Wachovia Securities, Inc., as successor to A.G. Edwards & Sons, Inc. FINRA Case No. 09-02643 Esberaldo D. Martinez vs. Citigroup Global Markets d/b/a Salomon Smith Barney, Inc., Alberto Perez FINRA Case No. Q07-V-613 Sidney Small v. RBC Wealth Management and Timothy David Disparte FINRA Case No. 09-04996 Joan P. Schultz vs. Daniel Deighan, Deighan Financial Advisors, Inc. and Boogie Investment Group, Inc. FINRA Case No. 10-03083 Miguel A. Gaud vs. Popular Securities, Inc. FINRA Case No. 10-03760 Carlos Lopez Perez v. Citigroup Global Markets Inc., and Juan Carlos Estarellas FINRA Arbitration No. 11-00758 File No. H445-49033 Genaro Mojica Negron and Luz A. Avila Jimenez vs. Popular Securities, Inc. and Roberto Rivera FINRA Arbitration No. 12-00725 Trial Testimony Gene H. Swenson vs. Oxford Bank & Trust, U.S. District Court Northern District of Illinois Eastern Division Case #03 C 0036 Dr. Robert H. Maliner et al vs. Wachovia Bank, NA, U.S. District Court for the Southern District of Florida Case #04-60237 Civ. Altonaga Nahmad, Lankau & Weinberger, P.A. Pension Fund v. Northern Trust Bank of Florida, U.S. District Court Southern District of Florida Miami Division Case no. 04-21409-CIV-Moreno/Garber Nancy S. Kurlansik, as Personal Representative of the Estate of Moe Goldman, deceased, v. Beverly N. Young, Individually and as Trustee of the Goldman Revocable Living Trust, and Ephraim Young, in the Circuit Court in and for Palm Beach County, Florida Case no. 502003CA011551XXOCAF Merrill Lynch Trust Company, FSB v. Mary F.C. Campbell, individually and as Trustee for the Mary F.C. Campbell Trust and as beneficiary of the Mary F.C. Campbell Charitable Remainder Unitrust Court of Chancery of the State of Delaware in and for New Castle County Civil Action No.: 1803-VCN Volftsun, Landy et al. vs. Wilmington Trust Company et al. Chancery Court for The State of Delaware C.A. No. 4635-VCL Cheryl A. Mann, and Ida S. Mann, Helene Mann Johns, Robin M. Robinson, and Karen Kramer vs. BNY Mellon Court of Common Pleas of Montgomery County, Pennsylvania Orphan's Court Division No. 0078-0526 <print page>   © Copyright 2017, Steven D. Stern, CFA. All Rights Reserved.   Steven D. Stern, CFA may only transact business in the states if first licensed, excluded, or exempted from the District investment adviser or investment adviser representative licensing requirements.