Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marcus Ribka (Claimant) v. SG America Securities, LLC (Respondent) Case Number: 09-03087 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Marcus Ribka, hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., and Sherry S. Shore, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent SG Americas Se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02448 Dr. Jerry Stiffel Names of the Respondents Hearinq Site: Boca Raton, Florida Bluechip Securities, Inc. Muhammad Khan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Dr. Jerry Stiffel, hereinafter referred to as "Claimant" appeared pro se. For Respondent Bluechip Securities, Inc. ("

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Bruni and Michele Bruni (Claimants) vs. Stifel, Nicolaus & Co, Inc., Ryan Beck & Co., and Michael Jason Bader (Respondents) Case Number: 09-00465 Hearinq Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Peter Bruni ("P. Bruni") and Michele Bruni ("M. Bruni"), hereinafter collectively ref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-04078 John Miller Respondents Hearing Site: Las Vegas, Nevada Vanguard Mari< eting Corporation Patricia K. Dunham Pacific West Securities, Inc. First Wailstreet Financial Advisors Pershing LLC Nature of Dispute: Customer vs. Members, Non-Member, and Associated Person REPRESENTATION OF PARTIES Claimant. John Miller hereinafter referred

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Walter E. Moore vs. Name of Respondent / Counter-Claimant Richard D. Tanner Case Number: 07-02278 Hearing Site: Cleveland, Ohio NATURE OF THE DiSPUTE Associated Person vs. Associated Person REPRESENTATION OF PARTIES Walter E. Moore ("Claimant" or "Moore") was represented by Victor Mezacapa 111, Esq., Licata & Toerek, Independ

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05187 Michael Sean Cain Name of the Respondent Hearing Site: Atlanta, Georgia Wachovia Securities, LLC, as Surviving Entity by Merger with A. G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Michael Sean Cain, hereinafter refen-ed to as "Claimant": Raymond L. Moss, Esq., Si

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benjamin H. Stafford and Barbara Stafford (Claimants) vs. Morgan Stanley DW, Inc. and Merhll Lynch Pierce Fenner & Smith, Inc. (Respondents) Case Number: 06-03040 Hearinq Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Benjamin H. Stafford and Barbara Stafford hereinafter collectively referred to as "Claimants

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jacob Niremberg (Claimant) vs. NYLife Securities, Inc., and George R. Gordon (Respondents) Case Number: 06-02862 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jacob Niremberg hereinafter referred to as "Claimant": Isaac Schlessinger, Brooklyn, NY. Respondents NYLife Secu

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Franko, Jr. and Judith A. Franko, his wife (Claimants) vs. Ameriprise Financial Services, Inc., f/k/a American Express Financial Advisors, Inc. (Respondent) Case Number: 06-02530 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Joseph A. Franko, Jr. ("Franko") and Judith A. Franko ("J. Franko

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Jacobson (Claimant) vs. eWealth Securifies, Inc. f/k/a Gilmour and Associates (Respondent) Case Number: 06-02354 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul Jacobson hereinafter referred to as "Claimant": Brian A. Carlis, Esq., Stark & Stark, Lawrenceville, NJ. Previously represented