AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bruce Means vs. Case Number 08-03866 Hearing Site: Oklahoma City, Olclahoma Names of Respondents Morgan Keegan & Company, Inc. and James C. Kelsoe, Jr. MATURE OF THg DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Bruce Means ("Claimanr) was represented by Adam J. Gana, Esq., Napoii Bern Ripka, LLP. New York, New Y

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-05598 Michele Bellet Morris (Claimant) vs. Stiarone IHalcman (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Santa Monica, CA. For Respondent appeared Vanessa M. Hoffman, Esq., Weils Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: September 25. 2009 CASE SUMMARY: Claimant asserted the following cause of action: misrepresentation. The

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05723 Evans Benton (Claimant) vs.TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Little Rock, AR. For Respondent appeared James J. Vihstadt, TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 24. 2009 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by illiquidity of investment. The cause of act

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05334 Michael M. Crenshaw and Beth Crenshaw (Claimants) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Millville, MA. For Respondent appeared John Bersin, E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 12. 2009 CASE SUMMARY: Claimante asserted the following cause of action: mistaicen margin calls. The cau

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc. (Claimant) vs. Mark Adams (Respondent) Case Number 08-02559 Hearino Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., hereinafter refemed to as "Claimant": Peter Byer, Esq., Oppenheimer & Co. Inc., New York, NY. Respondent Mark Adams hereinafter referred to as "Respon

Award FINRA Dteputo Resolution In the Matter of the Arbitration Between: IHenrietta Siivennan (Claimant) vs. Stifel Nicoiaus & Company, Inc. (formerly Ryan Becic & Co.), Barry Richter, and Sheila Ruth Richter (Respondents) vs. Leonard Weintraub (Third-Party Respondent) Case Number: 08-04330 Hearing Site: New York, New Yoric Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Persons. Third-Party Claim: Member and Associated P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 0&-08195 Jeny H. Green Residuary Trust. Elizabeth Green, TTEE Names of the Respondents Hearing Site: Boca Raton, Florida Bessemer Investor Services, Inc. Bradford Madison Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry H. Green Residuary Trust, Elizabeth Green. TTEE, hereinafter re

AwaiPd FINRA Dteputo Reeolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-02820 Connte Lee Name of the Respondent Hearing Site: Atlante, GA Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Connte Ijee, hereinafter refened to as '^laimant^: Jason R. Doss, Esq., The Doss Finn, LLC. Mariette, QA. For lUtorgan Keegan & Company, Inc. ("Morgan Keegan*^,

Award FINRA Diaputo Reeolution In the Matter of the Art>itration Between: NameoftheQIaimant Case Number 09-03003 Edward D. Jones & Co., L.P. Names of tfie Respondents Hearing Site: Richmond, Virginia Jason t. Williams Weils Fargo Advisors. LLC Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES For Edwarel D. Jones & Co., L.P., hereinafter refened to as "Claimanf: Christopher A. Pickett. Esq., Goldber

Award FINRA Dispute Resolution JL In the Matter of tiie Arisitration Between: Eric S. May (Claimant) vs. Sandgrain Securities, Inc. (Respondent) Case Number 09-02567 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eric S. May ("Claimant"): Robert A Scher, Esq., Scher & Scher. P.C, Great Neck, NY. Respondent Sandgrain Securities, Inc. ("Respondent"): Robert Giaoovas, Esq.,