Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. Steven Lesser (Respondent) Case Number: 07-03306 Hearing Site: Newari^, New Jersey Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Kayvan Karoon hereinafter referred to as "Claimant": Paul A. Lieberman, Esq., Law Offices of Paul A. Lieberman, Middletown, NJ. Respondent Steven Lasser hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Craig Shere (Claimant) vs. Calyon Securities (USA) Inc. (Respondent) Case Number: 08-00006 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Craig Shere hereinafter referred to as "Claimant": Jonathan Sack, Esq., Sack & Sack. New York, NY. Respondent Calyon Securities (USA) Inc.. hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global l^arkets (Claimant) vs. Sean Daly (Respondent) Case Number: 05-06051 Hearing Site: New York, New York Nature of the Dispute: IVIember vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets hereinafter refen-ed to as "Claimant": Erin E. MacAvoy. Esq.. Alonso, Andalkar. & Kahn, P.C.. New York, NY. Respondent Sean Daly hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Assalty (Claimant) vs. The Vertical Group (Respondent) Case Number: 08-01821 Hearing Site: New York. New Yorl< Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant William Assalty hereinafter referred to as "Claimant": Richard Alter, New York, New York. Claimant previously appeared pro se. Respondent The Vertical Group hereinafter refe

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00359 Zeus Securities, Inc.. ("Claimant") vs. RBC Dain Correspondent Services, ("Respondent") ATTORNEYS: For Claimant appeared Marc S. Gottlieb, Esq., New York, NY. For Respondent appeared In-house counsel Carolyn Guy, VP, Esq., Minneapolis, MN. NATURE OF DISPUTE: Member vs. Member DATE FILED: February 8. 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by fa

Award FiNI^ Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04993 Raymond Madonna Maureen R. Madonna Name of the Respondent Hearing Site: Baltimore, Maryland Ameritas Investment Corp. Name of the Third Party Respondent Diana McKinney Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATiON OF PARTIES For Raymond Madonna and Maureen R. Madonna, hereinafter refen-e

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00532 Branch Avenue Plaza, L.P. Names of the Responderrts Hearing Site: Richmond, VA United Securities Alliance, Inc. Royal Alliance Associates, Inc. Gary L. Ackerman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Branch Avenue Plaza. L.P., hereinafter refen^d to as "Claimant": W. Scot

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02500 Wachovia Securities LLC, ("Claimanf) vs. Sandra Pope, ("Respondenf} ATTORNEYS: For Claimant appeared Mictiael S. Colombo, President and CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst. NJ. Respondent appeared pro se, RIdgefield. CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 17. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay m

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Ameriprise Financial Services. Inc. vs. Lance Sloan Cooper Case Number: 08-01157 SITUS: Birmingham, Alabama. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Ameriprise Financial Services. Inc., hereinafter referred to as "Claimant": Will Stute, Esq., Faegre & Benson, LLP, Minneapolis, Minnesota. Lance Sloan Cooper, hereinafter referred to as

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Eleanor Taylor and Eleanor Taylor, IRA vs. Names of Respondents H&R Block Financial Advisors. Inc. n/k/a Ameriprise Advisor Services, Inc., Janney Montgomery Scott, LLC, and Michael James Howe Case Number: 07-02544 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIE