AWARD FINRA DISPUTE RESOLUTION CASE: 09-00167 Betty Lou Wilson (Claimant) vs. Dennis Goldstrand (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Lodi, CA. Respondent appeared pro se, Stockton, CA. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: February 2. 2009 CASE SUMMARY: Claimant asserted the following causes of action: libel/slander. ARBITRATOR'S REPORT: Respondent failed to document performance at thre

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01346 John G. Sauermann (Claimant) vs. Fidelity Brokerage Services LLC and Nathan Alexander (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Arlington, TX. For Respondents appeared Kerry Florio Labovitz, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 9. 2009 CASE SUMMARY; Claimant asserted the following cause of action: failure to execu

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01506 EKN Financial Services, Inc. (Claimant) vs. Ardeshir Sabi (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael Giugliano. EKN Financial Services, Inc., Woodbury NY. For Respondent appeared Barry Temkin, Esq., Mound, Cotton, Wollan & Greengrass, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 18, 2009 CASE SUMMARY: Claimant asserted the following cause of act

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02574 Gary R. Bech (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Raymond S. Weber, Esq., Law Offices of Mills Meyers Swartling. Seattle. WA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED; May 5, 2009 CASE SUMMARY; Claimant asserted the following causes

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01785 Joseph Ricci and Carolyn Ricci (Claimants) vs. Morgan Stanley & Co., Incorporated (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Howard Meyers, Esq., New York Law School Legal Services. Inc., New York, NY. For Respondent appeared Evan Boucher, Esq., Morgan Stanley & Co.. Incorporated, Purchase, NY. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 2. 2009 CASE SUMMARY: Claim

Award Data Award: $6,360.00 Claim: $.00 Interest: at the legal rate per annum in the State of New York from December 22, 2008 until payment is made Attorneys' Fees: $5,250.00 Costs: $.00 Costs: $325.00 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 Claimant the sum of $6,360.00. 2) Respondent is liable

AWARD FINRA DISPUTE RESOLUTION CASE: 05-00165 David E. Sherman (Claimant) vs. TD Waterhouse Investor Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Brooklyn, NY. For Respondent appeared James J. Vihstadt, Esq., TD Waterhouse Investor Services, Inc., Bellevue, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 11. 2005 CASE SUMMARY: Claimant alleged that he incurred a loss when Respondent refused to pla

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carol J. Friedman vs. Case Number: 08-01475 Hearing Site: Chicago. Illinois Names of Respondente Terra Nova Financial, LLC, Riverside Securities, inc., and Jordan Zero and Names of Cross-Claimants / Cross-Respondents Riverside Securities, inc. and Jordan Zero vs. Names of Cross-Respondent / Cross-Claimant Terra Nova Financial. LLC

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02448 David L. SIgalow and Stephen D. Milbrath, Trustees 401(k)/Profit Sharing Plan & Trust fbr Employees of Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A. U/A Dtd 7/31/1971. f/b/o Herbert L. Allen. Ava K. Doppelt, Stephen D. Milbrath. Richard K. Warther. Michael W. Taylor. Cari M. Napolltano and Sandra K. Kemraj Hertsert L. A

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01238 Morgan Stenley & Co., Inc. (fomieriy Morgan Stanley DW Inc.) Name ofthe Respondent Hearing Site: Tampa, FL James A. Fournace Nature ofthe Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Inc. (formeriy Morgan Stenley DW Inc.) ("Morgan Stanley), hereinafter referred to as "Claimant"