AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Wachovia Securities. LLC vs. Case Number: 09-02554 Hearing Site: Chicago, Illinois Name of Respondent Don Steriovsid MATlJRg OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugamrian, Esq.. Renan Sugarman, P.C.. Chicago, Illinois. Don SteriovskI ("Respond

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James M. Jones vs. Name of Respondent TD Ameritrade, Inc. Case Number: 08-03614 Hearing Site: Dallas, Texas NATURE OF THE DISPUTE Customer vs. Member James M. Jones ("Claimant") appeared pro se. TD Ameritrade, Inc. ("Respondent") was represented by James J. Vihstadt, Esq. The Statement of Claim was filed on or about October 3, 2008. The Submissio

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03710 Financial West Group (Claimant) vs. Walter Allen Ellis (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert Creaser, Financial West Group, Thousand Oaks. CA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 22, 2009 CASE SUMMARY: Claimant alleged that Respondent owes commissions paid as a result of rescinded annuity cont

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03005 Michael Dortheimer (Claimant) vs. Kabrik Trading, LLC and James Conlin (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se. New York. NY. For Respondents appeared Andrew J. Goodman. Esq.. Gan/ey Schubert Barer, New York, NY. NATURE OF DISPUTE: Associated Person v. Member and Associated Person DATE FILED: May 27. 2009 CASE SUMMARY: Claimant asserted the following causes of action: commissions

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02795 Phyllis M. Mossman (Claimant) vs. Wells Fargo Investments, LLC and Michael Hampton (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sacramento, CA. For Respondents appeared Vanessa Hoffman, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 15, 2009 CASE SUMMARY: Claimant asserted the following causes of

Award Data Award: $8,000.00 Pre-judgment Interest: at the rate of six percent (6%) per annum from September 19, 2008 to November 2, 2009 Post-judgment Interest: SO.OO Attorneys' Fees: $0.00 Costs: $212.50 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimants compensatory damages of $8,000.00. 2) Responde

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01155 William E. Busse and Kelly A. Busse, JTROS (Claimants) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se. Oro Valley, AZ. For Respondent appeared John Bersin. Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: February 25, 2009 CASE SUMMARY: Claimants asserted the following causes of action: negligence, breach of f

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04024 R.A. Hamerly A.I.A. Architect, Inc. (Claimant) vs. Sherman Jason Niamehr, John Joseph Conroy. and New Castle Financial Services. LLC (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Randall A. Hamerly, Highland, CA. For Respondent New Castle Financial Services, LLC appeared John J. Gulino, Esq., Anaheim, CA, and Brett D. Zinner. Esq., Brett D. Zinner. P.C.. Uniondale. NY. Respondents Sherman Jas

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-01491 Michelle Bensimon (Claimant) vs. Morgan Keegan & Company Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr.. Esq., James A. Dunlap Jr. & Associates LLC. Atlanta, GA. For Respondent appeared Rebecca L. Burnaugh. Esq.. and S. Lawrence Polk. Esq.. Sutheriand Asbill & Brennan LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 17. 2009 CASE SUMMAR

Award FINRA Disputo Resolution in Uie Matter of the Arbitratton Between: Ciaimant Case Number 08-04148 Morgan Steniey & Co. incorporated Respondent Hearing Site: Phoenbc, Arizona Charles E. Buckhannon, ill Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Steniey & Co., incorporated, hereinafter referred to as "Claimant": Donald B. Wallace, Esq., St. John, Wallace, Brennan & Foian LLP, Torrance, Ca