AWARD FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Name of Claimant Linda Whitney vs. Case Number: 09-00757 iHearing Site: IHouston, Texas Names of Respondents Edward D. Jones & Co., LP and Alan Myer Krocl^over NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Linda Whitney ("Claimant") appeared pro se. Edward D. Jones & Co., LP ("Edward Jones") and Alan Myer Krockover

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04137 Spruce Cliff Investments Ltd. (Claimant) vs. TD Ameritrade. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Brian Gracey, Vancouver. British Columbia. Canada. For Respondent appeared Catherine C. Lemoine. TD Ameritrade. Inc.. Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 8. 2009 CASE SUMMARY: Claimant asserted the following causes of action: unauthorized trades; brea

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter J. DaPuzzo and Mary Jane DaPuzzo (Claimants) vs. Robert T. Myers (Respondent) Case Number: 08-04392 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimants Peter J. DaPuzzo ("P. DaPuzzo") and Mary Jane DaPuzzo ("M. DaPuzzo"), hereinafter collectively referred to as "Claimants": Steven B. Feigenbaum, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04426 Charles Matisi (Claimant) vs E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Mahopac. NY. For Respondent appeared John Bersin. E*Trade Securities. LLC. Roseville. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 24. 2009 CASE SUMMARY: Claimant asserted the following causes of action: failure to disclose pertinent information, omission ot facts, and misrep

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: GSI Commerce Solutions. Inc. (Claimant) vs. Lehman Brothers, Inc.. Sanford A. Haber, Neil J. Greenspan. Jeffrey L. Chernick, Joseph L. Arena, and Kurt A. Locher (Respondents) Case Number: 08-02857 JHearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant GSI Commerce Solutions. Inc., hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Andrew I. Walzer (Claimant) vs. Muriel Siebert & Co., Inc.. National Financial Services LLC, Gerard Koske, and Muriel Siebert (Respondents) Case Number: 08-02529 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Andrew I. Walzer hereinafter referred to as "Claimant" appeared pro se. Respondents

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00688 P. David isenberg Name of the Respondent Hearing Site: Chartotte, North Carolina Synergy Investment Group, LLC Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES For P. David Isenberg. hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Allen Dyer Doppelt Milbrath & Gilchrist, Ortando, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02477 Oppenhoimer & Co. Inc. Name of the Respondent Hearing Site: Miami. Florida Daniel J. Carriazo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Cory Zadanowsky, Esq., Zadanowsky & Associates, P.A., Lake Worth, Florida. Daniel J. C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02482 Lance R. BecK Name of the Respondent Hearina Site: Atlanta, Georgia SunTrust Robinson Humphrey, inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Lance R. Beck, hereinafter referred to as "Claimant"; Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miami, Florida and Joseph Alonso, Esq., Broc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jefferies & Company, Inc. (Claimant) vs. John P. Coen (Respondent) Case Number: 09-03263 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Jefferies & Company, Inc., hereinafter referred to as "Claimant": Robert L. Herskovlts, Esq., Gusrae, Kaplan. Bruno & Nusbaum, New York, NY. Respondent John P. Coen hereina