Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey M. Gelger (Claimant) vs. Morgan Stanley DW, Inc. (Respondent) Case Number: 06-01086 Hearing Site: Columbus. Ohio Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jeffrey M. Geiger hereinafter referred to as "Claimant": Christopher R. Tettit, Esq., Lane, Alton & Horst, LLC, Columbus, OH. Respondent Morgan Stanley DW, Inc., hereinaft

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01546 Dawson James Securities, Inc. ("Claimant") vs. Joseph Anthony Gaibo ("Respondent") ATTORNEYS: For Claimant appeared Albert J. Poliak, Boca Raton. FL. For Respondent appeared Steven M. Selz, Esq., Selz & Muvdi Selz, P.A., Jupiter, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: May 14. 2008 CASE SUMMARY: Claimant alleged that Respondent owed money pursuant to the

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01103 Michael M. Jacobs, ("Claimant") vs. Bear Steams & Co., Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se. Fair Lawn. NJ. For Respondent appeared David Lebowitz, Esq., of JPMorgan Chase, New York, NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 11, 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to pay him earned

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASF. 08-00997 Ursula Marquardt, ("Claimant") vs. Ameripnse l-inancial Services and Mark C. l\^assaro, ("Respondents") ATTORNFYS For Claimant appeared Paul Marquardt. West Seneca. NY. For Respondents appeared in-housu counsel Courtney R. Reid, Qsq., Minneapolis. MN NATURE OF DISPUT t: Customer v. Member and Associated Person DATE i-lLLU: April 4. 2008 CASE SUMMARY: Claimant alleged that Res

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Donald F. Dailey, Jr. vs. Case Number: 06-02818 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Legg Mason Wood Walker, Inc.. Elizabeth M. Wolf, and John K. Russell NATURE QF THE PI8PUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Donald F. Dailey, Jr. ("Claimanr) was represented by Amold Y. Steinberg, Esq

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert W. Coles vs. Case Number 06-03279 Hearing Site: Cleveland, Ohio Names of Respondents A.G. Edwards & Sons, inc., Joseph Hanna, and Robert Poling NATVRE0FTHEBI8PUTE Customer vs. Member and Associated Persons REPRESENTATIPN OF PARTIES Robert W. Coles ("Claimant") was represented by Anthony Hartman, Esq., Hermann, Cahn & Schneider, LLP. C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Darlene Ludoff vs. Case Number: 07-01611 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Merrill Lynch, Pierce, Fenner & Smith. Inc. and Samuel William Spanos NATURE OF THE DISPUTE Customer vs. Memt)er and Associated Person REPRESENTATION OF PARTIES Darlene Ludoff ("Claimanr) was represented by Adrian N. Roe, Esq., Watkins Dulac &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Valentine Pitheckoff (Claimant) vs. Louis Liberatore and Great Eastern Securities, Inc. (Respondents) Case Number: 06-05246 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Valentine Pitheckoff ("Claimant") appeared pro se. Respondent Louis Liberatore ('Liberatore") appeared pro se. Previously

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00415 Oppenheimer& Co.. Inc., ("Claimant") vs. Steven B. Waldman, ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel Raquel Terrigno, Esq., New York, NY. For Respondent appeared Mark Charles, Esq., New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 13. 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah Galarneau (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Case Number: 08-00485 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Deborah Galarneau hereinafter referred to as "Claimant": Rufus E. Brown, Esq., Brown & Burke, Portland, ME. Respondent Merrill Lynch,