Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00812 John I. Amon, Jr. Names of the Respondents Hearing Site: Raleigh, NC Intersecurities, Inc. Tom Moriarty Vic Hobson Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES John I. Amon, Jr., hereinafter referred to as "Claimant", appeared pro se. For Intersecurities, Inc. ("Inters

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01463 John McQueston Name of the Respondent Hearing Site: Boca Raton, Florida E*Trade Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES John McQueston, hereinafter referred to as "Claimant," appeared Pro se. For E*Trade Securities, LLC, hereinafter referred to as "Respondent": John Bersin, Associat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00479 Deutsche Bank Securities Inc. Names of the Respondents Hearing Site: Boca Raton. Florida Jenkins-Olsen. Inc, John Gordon Nature of the Dispute: Member vs. Customer, REPRESENTATION OF PARTIES For Deutsche Bank Securities Inc, hereinafter referred to as "Claimant": Jason M. Fedo, Esq., Greenberg Traurig, P.A,, West Palm Beach, Fl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Scottrade, Inc., Claimant v. John C. Gott, Respondent John C. Gott, Counter-Claimant v. Scottrade, Inc., Counter-Respondent Case Number: 07-00805 Hearina Site: Houston, Texas Nature of the Dispute: Member v. Customer Customer v. Member REPRESENTATION OF PARTIES For Claimant and Counter-Respondent: Thomas L, Azar, Jr, Thompson Coburn LLP St, Louis, Missouri For Respo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Allen M. Green, William L. Wright, Donald E. Teboe. and A. Green Financial Group, inc. vs. Case Number: 06-04714 Hearing Site: Detroit, Michigan Names of Respondents Regis Securities Corporation and Robert K. Cargin NATURE QF THE DISPUTE Associated Persons and Non-Member vs. Member and Associated Person REPRESENTATION QF PARTIES Allen

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01211 Norman A, Foster, ("Claimant") vs. Edward D. Jones, LLP, ("Respondent") ATTORNEYS: Claimant appeared pro se, Topeka, KS, For Respondent appeared in-house counsel Lynette D, McCloud, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 13, 2007 CASE SUMMARY: Claimant alleged that Respondent permitted unauthorized withdrawals to occur in his account. Cl

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Lawrence D. Scbloveno (Respondent) Case Number: 07-00240 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Pro-Integrity Securities, Inc. (Claimant) vs. Jeffrey Rubin, Chris Pezzullo, Richard Morello, and Independent Capital Management, Inc. (Respondents) Case Number: 04-02939 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Persons and Non-Member REPRESENTATION OF PARTIES Claimant Pro-Integrity Securities, Inc., hereinafter referred to as "Claimant": Willia

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bernard McDaniel (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Kevin B. Murphy, and Daniel T. Fais (Respondents) Case Number: 06-02538 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bernard McDaniel hereinafter referred to as "Claimant": Jonathan D. Berg, Esq., La

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Harold Bennett, Janet Bennett, Joyce Alo, Bernardina Augusto, Antonio Augusto, Frederick Burmeister, Diane Burmeister, Ralph Carlson, Gail Carlson, Brenda Caswell, Kenneth Caswell, Marguerite Edwards, George Finkbiner, Herbert Hansen, individually, and f/b/o for his late wife Elizabeth Hansen, and f/b/o Davidson Rugs Profit Sharing Trust, Jane Hoffman, Margaret Huyler, Kendall Kelly, J