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.
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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
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
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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.