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Steven D. Stern
Chartered Financial Analyst
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305-979-4015 |
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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
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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
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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
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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 |
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© Copyright 2021, Steven D. Stern, CFA. All Rights Reserved. |
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