Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael F. Maloney (Claimant) vs. Banc of America Securities LLC (Respondent) Case Number: 08-00441 Hearino Site: New Yori< , New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael F. Maloney hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, L. L. P. New Yorl?, NY. Respondent Banc of America Securi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sylvia Greenberg, Steven Greenberg & William Greenberg (Claimants) vs. Capital Growth Financial. LLC f/k/a CGF Securities, LLC f/k/a Capital Growth Securities LLC f/k/a INTL Capital Growth. Ltd. (Respondent) Case Number: 08-00362 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Sylvia Greenberg ("Greenberg"), Steve

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04509 David J. Rothschild, ("Claimant") vs. Fidelity Brokerage Services LLC, ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se. Highland Park, IL. For Respondent appeared Diane M. Brown, Esq., In-house Counsel, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 1. 2008 CASE SUMMARY: Claimant alleged that he sustained losses when Respondent transferre

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00171 Nicholas C. Cochran, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, San Jose, CA. For Respondent appeared John Bersin, Esq., In-house Counsel, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 8. 2009 CASE SUMMARY: Claimant alleged that Respondent failed to execute a timely placed order to purchas

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04810 Michael Prevor Roth IRA, ('•Claimant") vs. ID Ameritrade, Inc., ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Michael Prevor, Boca Raton, FL. For Respondent appeared James J. Vihstadt, In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 16. 2008 CASE SUMMARY: Claimant alleged negligence as a result of Respondent's failure to ti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00926 Richard and Carolyn Bland Name of the Resoondent Hearing Site: Bimningham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard ("R. Bland") and Carolyn (C. Bland) Bland, hereinafter collectively referred to as "Claimants": Debra Brewer Hayes, Esq. and Eric 0*S

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chariene Thrasher vs. Case Number: 05-03310 Hearing Site: St. Louis, Missouri Names of Respondents American Express Financial Advisors, Inc., Reginald C. Grove, and Henry L. Broussard, Jr. NATURE OF Tl Customer vs. Member and Associated Persons REPRESENTATION QF pA^TIE^ Chariene Thrasher ("Claimant") was represented by Ira M. Potter, Esq., Doster

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charies Anthony Sever vs. Name of Respondent Wachovia Securities, LLC Case Number: 07-01037 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Charies Anthony Bever ("Claimant") was represented by Michael McDonough, Esq.. Moyer & Bergman, P.L.C., Cedar Rapids, Iowa. Wachovia Securities,

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent ceo Investment Services Corp. vs. Case Number: 08-01672 Hearing Site: Detroit, Michigan Name of Resoondent/Counter-Ciaimant Michael R. Burns NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES CCO Investment Sen/ices Corp. ("Claimant" or "CCO") was represented by David Belcher. Esq. and Christine R. Fit

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lisa Ditkowsky vs. Case Number. 08-00263 Hearing Site: Chicago, Illinois Names of Respondents A.G. Edwards & Sons, Inc., Alan Dubrow, Robert Batchen, David Foriow, Melissa Keipsch, and Gary Chesin NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Lisa Ditkowsky ("Claimant") was represented by