Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00925 United Prison Ministries Name of the Respondent Hearina Site: Birmingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For United Prison Ministries, hereinafter refened to as "Claimanf: Debra Brewer Hayes, Esq. and Eric O'Steen, Esq., The Hayes L^w Firm, Houston, Tex

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01809 Morgan Keegan & Company, inc. Name of the Respondent Hearing Site: Ft. Lauderdale, Florida John E. Egan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Joseph B. Alonso, Esq. and Dan Wirth, Esq.. Broci^. Clay, Calhoun & Roger

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Tocco (Claimant) vs. Walter J. Dowd, Inc. (Respondent) Case Number: 08-01828 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Peter Tocco hereinafter referred to as "Claimant": Ethan A. Brecher, Esq., Liddle & Robinson. L.L.P.. New York. NY. Respondent Walter J. Dowd, Inc.. hereinafter referred to as "

Award FINF(A Dispute Resolution In the Matter of the Arbitration Between: Louis Basel and Penelope Basel (Claimants) vs. Wachovia Securities. LLC and Neophytes Ganiaris (Respondents) Case Number: 08-03999 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Louis Basel ("L. Basel") and Penelope Basel ("P. Basel"), hereinafter collectively referred to as "Claimants": Ke

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04794 Lincoln Investment Planning Inc. ("Claimant") vs. Joseph J. Rentier ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Joshua S. Ganz, Esq.. Timoney Knox, LLP, Fort Washington, PA. Respondent appeared pro se, Carnegie, PA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: December 16, 2008 CASE SUMMARY: Claimant alleged that Respondent breached a Step Draw P

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00522 Michael R. Ladanyi, IRA ("Claimant") vs. Scottrade, Inc., and TD Ameritrade, Inc. ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se, Bremerton, WA. For Respondent Scottrade, Inc., appeared Andrew C. Small, In-house Counsel, St. Louis. MO. For Respondent TD Ameritrade, Inc., appeared James J. Vihstadt, Esq., In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Cust

Award FINRA Diapute Raaolution In the Matter of the Arbitration Between: Joseph Gunnnar & Co., LLC (Claimant) vs. Brent Porges (Respondent) Case Number: 08-02984 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Joseph Gunner & Co., LLC, hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY. Respondent Brent Porges hereinafter referred to as "Respondent" appeare

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Natalie Bram, by herself, and Natalie Bram Living Trust (Claimants) vs. Brauch Coleman, Capital Securities of America (ndba Wunderlich Securities), and Jerry Lee Cline (Respondents) Case Number: 08-00773 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Associated Persons and Members. REPRESENTATION OF PARTIES Claimants Natalie Bram. by herself, ("N. Bram"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IHelen Curcie (Claimant) vs. Ovadia Avraham and Trans Worid Securities LLC (Respondents) Case Number: 08-01284 Hearing Site: Rochester. New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant IHelen Curcie hereinafter referred to as "Claimant": James L. Sonneborn, Esq., Green Seiffer PLLC, Syracuse, NY. Previously represented

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Samuel R. McDonald (Claimant) vs. ID Ameritrade, Inc. (Respondent) Case Number: 08-00447 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Samuel R. McDonald hereinafter referred to as "Claimant": David Constantino, Esq., The Law Office of David Constantino, Worcester. MA. Respondent TD Ameritrade, Inc., hereinafte