AWARD FINRA DISPUTE RESOLUTION CASE: 08-04942 Michael W. Leonard ("Claimant") vs. Morgan Stanley & Co., Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Louisville, KY. For Respondent appeared Andrew H. Lipton, Esq., Morgan Stanley & Co., Inc., Purchase, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 23, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to timely follow his instructions to liquidat

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-03925 W. D. David, Jr. Name of the Respondent Hearing Site: Atlanta, Georgia Man Financial. Inc. a/k/a MF Global, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For W. D. David, Jr., hereinafter refen^d to as "Claimant": J. Pat Sadler, Esq.. Sadler & Hovdesven, P.C., Atlanta, Georgia. For Man Financial

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 09-00271 Donna L. Lail ("Claimant") vs. Ameriprise Financial Sen/ices, Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se. Cedar Lade, IN. For Respondent appeared Cathy Gress Springer, Ameriprise Financial Sen/ices, Inc., Minneapolis, MN. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: January 12,2009 CASE SUMMARY: Claimant is seeking amendment of her Form U5 regarding th

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 08-01600 James S. Bach, individually and as Trustee for James Bach Rev. Living Tmst UAD 11/4/93 Name of the Respondents Hearing Site: Miami, Florida Citigroup Global Markets, Inc. d/b/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James S. Bach, individually and as Toistee for James Bach R

Case Number: 08-00472 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Donald Halfmann and Patricia Halfmann ("Claimants") were represented by John J. Miller, Esq., Swanson Midgley, LLC, Kansas City, Missouri. VFinance Investments, Inc. ("Respondent" or "VFinance") was represented by Adam H. Smith. Esq., Adam H. Smith, PA, Boca Raton. Florida. CASE INFORMATION The Statement of Claim was filed on

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04489 Enrico Cassara (Claimant) vs. E*Trade Clearing LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Old Bridge, NJ. For Respondent appeared in-house counsel John Bersin, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 28. 2008 CASE SUMMARY: Claimant asserted the following causes of action: failure to execute and misrepresentation. The causes of action relate

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wilfred J. UndenA/ood (Claimant) vs. Richard Allan Brownstein and Sll Investments. Inc. (Respondents) Case Number: 08-02659 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Wilfred J. Undenn/ood hereinafter referred to as "Claimant" appeared pro se. Respondents Richard Allan Brownstein ("Brownst

Award FINRA Dispute Resolution In tl^e Matter of tlie Arbitration Between: Bernard S. Cohen (Claimant) vs. Estate of Joseph Moreno (Respondent) Case Number: 08-03853 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES Claimant Bernard S. Cohen hereinafter referred to as "Claimant": David J. Butler. Esq., Bressler, Amery & Ross, Florham Park, NJ. Respondent Estate of Joseph Moreno hereinaft

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: IHarold Kozupsky and Jeanette Kozupsky, Individually, Jointly and in their IRA and Profit Sharing Plans (Claimants) vs. RBC Dain Raucher, Ronald Slevin, and George Glackman (Respondents) Case Number: 08-04585 Hearing Site: New Yori^, New Yori^ Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Harold Kozupsky ("H. K

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Joseph A. Petrone (Claimant) vs. Investacorp, Inc. and Ladenburg Thaimann Financial Services, LLC (Respondents) Case Number: 07-03516 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Joseph A. Petrone hereinafter refen-ed to as "Claimant": Linda M. Deoia, Esq., Reynolds. MotI, and Shenwood, PLLP, Helena. M