Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03486 Banco Industrial De Venezuela Miami Agency Name of the Respondent Hearing Site: Miami. Florida Citigroup Global Maricets, Inc. (d/b/a Citi Smith Barney) Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Banco Industrial De Venezuela Miami Agency, hereinafter refened to as "Claimant": Barton S. Sac

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01862 Charles Smith Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimant Charles Smith: Richard S. Frankowski, Burke Harvey & Frankowski, LLC, Binningham, Alabama. For Respondent Morgan Keegan & Company. Inc.: Peter S.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03558 Jules A. Fox Names of the Respondents Hearing Site: Boca Raton, Florida Brookshire Securities Corporation NEXT Financial Group, Inc. John Raphael Boeike, Jr. Timothy Buri^e Ruggiero Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jules A. Fox, hereinafter referre

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02809 Oppenheimer & Co., Inc. (Claimant) vs. Michael J. Wheatley (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co . Inc.. New York. NY Respondent appeared pro se, Southgate. KY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 15, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of Promissory Notes. Claim Data C

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02682 Michael A. Matras Trustee/Michael A. Matras Revocable Trust (Claimant) vs. Banc of Amehca Investment Services and Michael Cischke (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Pompano Beach. FL. For Respondents appeared Abby N. Ruth, Esq., Fulbright & Jaworski, L.L.P.. Dallas. TX. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 8. 2009 CASE SUMMARY: Claiman

Award Data Award: $25,000.00 Interest: at the rate of 5% per annum from May 14, 2009 to September 24. 2009 Attorneys' Fees: $.00 Costs: 51.050.00 Other: $.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant the sum of 525,000.00. 2) Respondent is liable for and shall pay to Claimant interest at the r

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03248 Amdas, Inc., Abraham B. Medina, Pres. (Claimant) vs. Scottrade. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Abraham B. Medina, Hurst, TX. For Respondent appeared Ryan M. Blum, Esq.. Scottrade, Inc., St. Louis. MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 2, 2009 CASE SUMMARY; Claimant asserted the following cause of action: error in trade execution. The cause of ac

Award Data Award: $14,872.00 Punitive: $ 00 Pre-judgment Interest: at the rate of 7% per annum from November 12. 2008 to the date of the award Post-judgment Interest: at the rale of 7% per annum from the date of the award until paid Attorneys' Fees: S.OO Costs: S425 00 Other: $.00 AWARD: The undersigned arbitrator has decided and determined in full and fina" resolution of the issues submitted for determination as follows- 1) Respondent is

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02231 Edward F. Ifkovits, Individually and on behalf of Edward F. Ifkovits IRA (Claimants) vs Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared J. Boyd Page. Page Perry, LLC. Atlanta, GA; Aidikoff, Unl & Bakhtiari, P.C; Maddox Hargett & Caruso, P.C., and; David P. Meyer & Associates Co., LPA. For Respondent appeared Evelyn C. Best. Esq., Keesal. Young & Logan, Long Beach.

AWARD FINRA DISPUTE RESOLUTION CASE; 09-02600 Norma L. Parker (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Glendale. CA. For Respondent appeared Eric J. Glassman, Esq.. Mennemeier. Glassman & Stroud LLP. Sacramento, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 5. 2009 CASE SUMMARY: Claimant alleged that she lost money due to the fact that Respondent ignor