Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00363 Robert J. Kraus Names of the Respondertts Hearing Sitei Boca Raton, Florida SunTrust Investment Services, Inc. Christopher J. Fluehr Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert J. Kraus, hereinafter referred to as "Claimanf: Ryon M. McCabe, Esq.. McCabe Ra

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00578 Robert Barnhill, IRA (Claimant) vs. Morgan Keegan and Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap & Associates, LLC, Atlanta, GA. For Respondent appeared John David Thomas, Esq., Bass, Berry & Sims PLC, Nashville, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 3. 2009 CASE SUMMARY: Claimant asserted the followi

Award Data Award: $13,442.09 Interest: at the rate of 3% per annum from March 3, 2008 to the date of collection Costs: (Collection Fees) $4,032.62 Costs: $1,050.00 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 $13,442.09. 2) Respondent is liable for and shall pay to Claimant interest at the

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02089 Oppenheimer& Co., Inc. (Claimant) vs. David L. Armstrong (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 14, 2009 CASE SUMMARY: Claimant asserted the following cause of action: overpayment of commissions. Cla

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00167 Betty Lou Wilson (Claimant) vs. Dennis Goldstrand (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Lodi, CA. Respondent appeared pro se, Stockton, CA. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: February 2. 2009 CASE SUMMARY: Claimant asserted the following causes of action: libel/slander. ARBITRATOR'S REPORT: Respondent failed to document performance at thre

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01346 John G. Sauermann (Claimant) vs. Fidelity Brokerage Services LLC and Nathan Alexander (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Arlington, TX. For Respondents appeared Kerry Florio Labovitz, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 9. 2009 CASE SUMMARY; Claimant asserted the following cause of action: failure to execu

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01506 EKN Financial Services, Inc. (Claimant) vs. Ardeshir Sabi (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael Giugliano. EKN Financial Services, Inc., Woodbury NY. For Respondent appeared Barry Temkin, Esq., Mound, Cotton, Wollan & Greengrass, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 18, 2009 CASE SUMMARY: Claimant asserted the following cause of act

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02574 Gary R. Bech (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Raymond S. Weber, Esq., Law Offices of Mills Meyers Swartling. Seattle. WA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED; May 5, 2009 CASE SUMMARY; Claimant asserted the following causes

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01785 Joseph Ricci and Carolyn Ricci (Claimants) vs. Morgan Stanley & Co., Incorporated (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Howard Meyers, Esq., New York Law School Legal Services. Inc., New York, NY. For Respondent appeared Evan Boucher, Esq., Morgan Stanley & Co.. Incorporated, Purchase, NY. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 2. 2009 CASE SUMMARY: Claim

Award Data Award: $6,360.00 Claim: $.00 Interest: at the legal rate per annum in the State of New York from December 22, 2008 until payment is made Attorneys' Fees: $5,250.00 Costs: $.00 Costs: $325.00 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 $6,360.00. 2) Respondent is liable