FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04794 Lincoln Investment Planning Inc. ("Claimant") vs. Joseph J. Rentier ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Joshua S. Ganz, Esq.. Timoney Knox, LLP, Fort Washington, PA. Respondent appeared pro se, Carnegie, PA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: December 16, 2008 CASE SUMMARY: Claimant alleged that Respondent breached a Step Draw P

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00522 Michael R. Ladanyi, IRA ("Claimant") vs. Scottrade, Inc., and TD Ameritrade, Inc. ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se, Bremerton, WA. For Respondent Scottrade, Inc., appeared Andrew C. Small, In-house Counsel, St. Louis. MO. For Respondent TD Ameritrade, Inc., appeared James J. Vihstadt, Esq., In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Cust

Award FINRA Diapute Raaolution In the Matter of the Arbitration Between: Joseph Gunnnar & Co., LLC (Claimant) vs. Brent Porges (Respondent) Case Number: 08-02984 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Joseph Gunner & Co., LLC, hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY. Respondent Brent Porges hereinafter referred to as "Respondent" appeare

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Natalie Bram, by herself, and Natalie Bram Living Trust (Claimants) vs. Brauch Coleman, Capital Securities of America (ndba Wunderlich Securities), and Jerry Lee Cline (Respondents) Case Number: 08-00773 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Associated Persons and Members. REPRESENTATION OF PARTIES Claimants Natalie Bram. by herself, ("N. Bram"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IHelen Curcie (Claimant) vs. Ovadia Avraham and Trans Worid Securities LLC (Respondents) Case Number: 08-01284 Hearing Site: Rochester. New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant IHelen Curcie hereinafter referred to as "Claimant": James L. Sonneborn, Esq., Green Seiffer PLLC, Syracuse, NY. Previously represented

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Samuel R. McDonald (Claimant) vs. ID Ameritrade, Inc. (Respondent) Case Number: 08-00447 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Samuel R. McDonald hereinafter referred to as "Claimant": David Constantino, Esq., The Law Office of David Constantino, Worcester. MA. Respondent TD Ameritrade, Inc., hereinafte

Award HNRA Dispute RMohitton In the Matter of the Arbttratton BetMveen: NameoftheClalmante Strand, Atkinson, Williams & York, Inc. and Umpqua Holdings Corporation Name of the Respondents Morgan Stanley & Co., Incorporated; Bradford Adam Wean Douglas Edward Strand; John Frederick York; Brian David Schuler Norman Wesley Fincher and Adriel J. Gaines Name of the Counter-Claimants Bradford Adam Wear, Douglas Edward Strand; John

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04633 Samir Lawrence, ("Claimant/Counterclaim Respondent") vs. E*Trade Securities LLC, ("Respondent/Counterclaim Claimanf) REPRESENTATION OF PARTIES: For Claimant/Counterclaim Respondent appeared Debra G. Speyer. Esq., Philadelphia, PA. For Respondent/Counterclaim Claimant appeared John Bersin, Esq., In-house Counsel, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04887 Humberto Gimenez Corporation, Humberto Gimenez, President, ("Claimants") vs. Morgan Stanley D.W. inc., ("Respondent') REPRESENTATION OF PARTIES For Claimants appeared Humberto Gimenez, New York NY. For Respondent appeared John Montone, Esq., In-house Counsel, Purchase, NY. NATURE OF DISPUTE: Customers v. IVIember DATE FILED: December 19. 2008 CASE SUMMARY: Claimants alleged that t

Revised Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Marshal D. Gibson (Claimant) vs. UBS Financial Services, Inc., and Karen A. Kurrasch (Respondents) Case Number: 06-00520 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES Claimant Marshal D. Gibson hereinafter referred to as "Claimant" appeared pro se. Respondents UBS Financial Services. Inc. (