Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00748 Alan J. Evans Names of the Respondente Hearing Site: Boca Raton, Florida Michael A. Bober Ettore D. Ventrice Sanford E. Steinberg Nature of the Dispute: Customer vs. Associated Pereon. REPRESENTATION OF PARTIES For Alan J. Evans, hereinafter referred to as "Claimant": Richard A. Stephens, Esq., Law Offices of Richard Ste

Amended Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-04616 Ravindra Sheth Name of the Respondent Hearing Site: Atlanta. Georgia E^Trade Securities LLC Nature of the Oispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimant Ravindra Sheth ("Sheth"): Emory A. Wyant, Jr., Strong, Stevens & Wyant, Piaymouth Meeting, Pennsylvania until on or atx>ut March 27, 2009; thereaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02040 Satish Rampal. Derek Rampal, and Keith Rampal Name of the Respondent Hearing Site: Ft. Lauderdale, FL Morgan Stanley & Co. Incorporated as successor in interest to Morgan Stenley DW Inc. Name of the Third Partv Respondent Willie J. Brice, Jr. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-00856 Janney Montgomery Scott, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Erez Libschtein Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Amy E. Sparrow, Esq., Stradley Ronon Stevenson & Young, LLC, Philadelphia, Pe

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Names of the Claimants Case Number: 09-00357 James W. Lyman and Judith Lyman Names of the Respondents Hearing Site: Tampa, Florida Paul Marshall American Wealth Management, Inc. Raymond James Financial Services, Inc. Raymond James & Associates, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James W. Lyman

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02714 Paul L. Strickland (Claimant) vs. Crusader Securities. LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Beijing. China. For Respondent appeared Blair A. West, Crusader Securities, LLC. Southampton. NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: May 4. 2009 CASE SUMMARY: Claimant asserted the following causes of action: unpaid compensation and quantum meruit. Claim

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02086 Raymond Yorke (Claimant) vs. Darrell Hestford and Wells Fargo Investments, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Escondido, CA. For Respondents appeared Vanessa M. Hoffmann, Esq.. Wells Fargo Investments, LLC. San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 13. 2009 CASE SUMMARY: Claimant asserted the following causes of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03049 Edward D. Jones & Co., L.P. (Claimant) vs. Treavor J. Mosbaugh (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Paul Yarns, Esq.. Goldberg Pickett LLC, St. Louis, MO. Respondent appeared pro se, Aurora, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 27. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Claim DaTa Award Data C

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01119 John Buscema (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Largo. FL. For Respondent appeared John Bersin, Esq., E'Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 28. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute. The cause of action relates to Dell Inc., commo

AWARD FtNRA Dispute Resolution :n the Matte/ of the AnAiMo'* Between: Name of Ctgiman^ Hertiert D. Kmman Morgan Keegan & Company, Inc and J^.i ShekJori Cuttai Case Number 06-04128 Hearing Site: LouisviHe, Kcntuclcy HATUREOFTHgPIBPUTE Customer VS. Membdrand Associated Person BEPRSSENTftTlQh ftp PWTES Herbert D. Kinman ('Ciaimanr) was represented by James P. McCrockhn. Esq . LDui!«villa. Knitucity Monjan Koegan & Company, Inc. ("Mofgan