Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 07-03087 Ruimin Chen and Li Pan, JTWROS Name of the Respondent Hearing Site: Raleigh. NC Interactive Brokers LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ruimin Chen and Li Pan. JTWROS, hereinafter collectively referred to as Xlaimants": Li Pan, Raleigh. NC. For Interactive Brokers LLC ("IB"), hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiaimant Case Number: 08-00107 Harold Wallace Trust Name of the Respondent Hearing Site: Ft. Lauderdale, Florida E'Trade Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For the Harold Wallace Tnjst, hereinafter referred to as "Ciaimanf: Neil T. Wallace, Esq., Williamsburg, Virginia. For E*Trade Securities, LLC, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00666 Newbridge Securities Corp)oration Name of the Respondent Hearino Site: Miami, Florida Felipe N. Arrieta Nature of the Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES Newbridge Securities Corporation, hereinafter refened to as "Claimant": Michael S. Columbo, StreefWide Asset Recovery Group, Inc., Lyndenhurst New Jer

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 07-03389 Raymond James and Associates, Inc. Name of the Respondent Hearino Site: Tampa, Florida David W. Riggleman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James and Associates, Inc., hereinafter referred to as "Claimant": Kelli Bullington, Esq., Assistant Vice President and Assistant Corpo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Chatsworth Securities LLC (Claimant) vs. The GMS Group, LLC (Respondent) Case Number: 07-00922 Hearino Site: Harti'ord, Connecticut Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Chatsworth Securities LLC hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., Law Offices Kevin Thomas Hoffman, Greenwich, CT. Respondent The GMS Group, LLC her

Stipulated Award FINRA Dispute Resolution In the Matter of the Art)ltration Between: Claimant Case Number 08-00513 SMH Capitol, Inc. Respondent Hearing Site: Dallas, Texas Eric Charies Edson Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, SMH Capitol, Inc., Jack D. Ballard, Esq. and Martha F. McDugald, Esq.: The Ballad Law Firm, Houston, Texas Respondent. Eric Charies Edson appeared pro se CASE INF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-00335 Ray D. Colter, Jr. and Ruth Colter Name of the Respondent Hearing Site: Jackson, Mississippi Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ray D. Colter, Jr. and Ruth Colter, hereinafter collectively refen^d to as "Claimants": Andrew Stoltman, Esq. and David Neuman, Esq., St

stipulated Award FINRA Dispute Resolution In the l\^atter of the Arbitration Between: Name of the Claimant Case Number: 08-00706 i\1organ Stanley & Co., incorporated (fbnneriy Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Orlando, Florida Paul J. Piscitelii Nature of the Dispute: Member vs. Associated Person. For Morgan Stanley & Co., Incorporated (fomierly Morgan Stanley DW Inc.). hereinafter referred to as "Claimant": D. Daxton

Award FINRA Dispute Resolution In the l\^atter of the Arbitration Between: Gregory William Eagan (Claimant) vs. HSBC Securities (USA), Inc. (Respondent) Case Number: 07-03592 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Gregory William Eagan hereinafter referred to as "Claimant": Ethan A. Brecher, Esq., Liddle & Robinson, LLP, New Yorl^, NY. Respondent IHSBC Securities (USA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alan Lehman (Claimant) vs. Chicago Investment Group, L.L.C. and Howard Charles Corum, Jr. (Respondents) Case Number: 07-03474 Hearing Site: New Yorl^, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alan Lehman hereinafter referred to as "Claimant": Patrlcl< Gaffney, Esq., Crowell & Moring LLP. New Yori< . NY. Res