Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04633 Gregg Rosenberg Name of the Respondent Hearing Site: Washington. D.C. Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gregg Rosenberg, hereinafter referred to as "Claimant": Howard B. Prossnitz, Esq. and Katherine S. Beard, Esq.. Law Offices of Howard Prossnitz, Chicago. Il

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05415 Lenore J. Gaynor Trustee FBO Lenore J. Gaynor Decl. of Trust DAD 6/18/01 Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Smith Barney LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lenore J. Gaynor Trustee FBO Lenore J. Gaynor Decl. of Trust UAD 6/18/01, hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01037 Darryll Ceccoli Names of the Respondents Hearing Site: Atlanta/Georgia Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Dvora L. Callahan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Darryll Ceccoli, hereinafter referred to as "Claimant": Gerald B. Kline, Esq., Sims M

AuMiH in the Matter of the Arbitration Between: OOamA CwNumtwr OMaosa Thermo Dynamics Inc. Charies ScNnb & Co. Jnc Nature of the Diipule: CX^^ IMIIIPPMIMII.IOII^ iil^BBiliiiliim. Clairnant Themrio Dynamics Inc.. hereinafter refBrred to as "Claimant: Roberto. Mitchell. Esq.. Jylto M. Beauregard. Esq. and Sarah K. Deutsche. Esq.. Mitchell & Associates. P.C. Phoenbc, Arizona. Respondent Charles Schwab & Co.. Inc., hereinafter refened to as 'Schw

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 09-04569 Lillian E. Ulissey and The Lillian E. Ulissey Trust Dated June 22, 2007 by Lillian E. Ulissey and Elinor U. Bartlett, Trustees Names of the Respondents/Third Party Claimants Hearing Site: Washington. D.C. Edeiman Financial Services, LLC Valentino R. Taddei, Jr. Name of the Third Party Respondent Elinor U. Bartlett, POA and

AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant RSA 1 Limited Partnership vs. Case Number: 09-04932 Hearing Site: Des Moines, Iowa Names of Respondents Raymond James & Associates, inc., Raymond James Financial Services, Inc., and Duane Arthur Sturm NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES RSA 1 Limited Partnership ("Claimant") was represen

AWARD FINfRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jane C. Love, and MLPF&S OUST FPO., Jane C. Love IRIRA, FBO Jane C. Love vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 09-05668 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jane C. Love, and MLPF&S OUST FPO., Jane C. Love IRIRA, FBO Jane C. Love ("Claima

Case Number: 09-05084 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Raymond James & Associates, inc. ("Claimant") was represented by Kelli Buiiington, Esq., Raymond James & Associates, Inc., St. Petersburg, Florida. Mark L. Davis ("Respondent") was represented by Richard L. Boihouse, Esq., Boihouse, Vander Hulst, Risko, Baar & Lefere, P.C, Grandville, Michigan. CASE INFORMATION The Statem

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-01568 Jordan H. Moffet and Margot A. Trombley. individually and as Trustees of the Moffet Family Trust Respondent Hearing Site: Los Angeles. California Oppenheimer & Co., Inc. ^ Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Jordan H. Moffet and Margot A. Trombley, individually and as Trustees of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Irina Aronson Irrevocable Trust (Claimant) vs. Prestige Financial Center, Inc., Friedman Schnaier Asset Mgt, LLC d/b/a Friedman, Schnaier & Associates, and Tod Bretton (Respondents) Case Number: 08-04753 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant The Irina Aronson Irrevocable Trust he