Award FiNRA Dispute Resolution In the Matter of the Ari3itration Between: Banc of America Investment Services, Inc. (Claimant) vs. John Pasacreta, John Rotando, Jondon Samelson. Jeremy Donefer. and Morgan Stanley Co., Inc. (Respondents) Case Number: 09-01732 Hearina Site: New York. New York Nature of the Dispute: Member vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referre

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-04683 Vivian D. Stirpe, ("Claimant") vs. Rafael Golan of RSG Capital Corp., ("Respondent") ATTORNEYS: Claimant appeared pro se, Boynton Beach, FL. For Respondent appeared Hartley T. Bernstein, Esq., Bernstein, Levine. Cherney LLP, New York, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: December 10, 2008 CASE SUMMARY: Claimant alleged that Respondent pressured her to l

FiNRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-04510 Erica Woodard, ("Claimant") vs. Raymond James Financial Services, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se. Miami. FL. For Respondent appeared Terrance A. Bostic, Esq., In-house Counsel, St. Petersburg, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 1. 2008 CASE SUMMARY: Claimant alleged that Respondent steered her into an investment which was b

FiNRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-03031 Nocoa Corporation, Andrew Jonathan Tressler. Todd David Aitken, Anthony Joseph Graziano, and Derek John Rehill, ("Claimants") vs. Cari Anthony Giangrande, ("Respondent") ATTORNEYS: For Claimants appeared Andrew Tressler, American Capital Partners, LLC, East Patchogue, NY. Respondent appeared pro se, Whitestone, NY. NATURE OF DISPUTE: Non-Member and Associated Persons v. Associated

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Shukri Robert Dayeh (Claimant) vs. M & T Securities, Inc. (Respondent) Case Number: 08-02821 Hearing Site: Rochester. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Shukri Robert Dayeh hereinafter refen-ed to as "Claimant": George S. Mehallow. Esq.. North Syracuse, NY. Respondent M & T Securities, Inc., hereinafter referred to as

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Barry Liben (Claimant) vs. Chase Investment Services Corp. (Respondent) Case Number: 08-01656 Hearina Site: Newarl^, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Barry Liben hereinafter referred to as "Claimant": Michael J. Sullivan, Esq., Coughtin Duffy LLP, Morristown, NJ. Respondent Chase Investment Services Corp.. hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gordon Levey (Claimant) vs. Brownstone Investment Group, Brownstone Investment Partners, LLC, Brownstone Asset Management, LLP, Douglas B. Lowey, and Barret Nayior (Respondents) Case Number: 08-00449 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Non-Members, and Associated Persons. REPRESENTATION OF PARTIES Claimant Gordon Levey herein

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant C.A.S.E. Credit Union vs. Case Number: 07-00712 Hearing Site: Detroit, Michigan Name of Respondent Prudential Equity Group, LLC NATURE OF THE DISPUTE Customer vs. Tenninated Member REPRESENTATION OF PARTIES C.A.S.E. Credit Union ("Claimant" or "CASE") was represented by Samuel Benton Edwards, Esq.. Shepherd, Smith, Edwards & Kantas, LLP, [Houston

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00574 Gerald E. Humphries Name of the Respondent Hearing Site: Jaci^son. Mississippi Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gerald E. Humphries, hereinafter referred to as "Claimant": Jeffrey Erez, Esq. and Jeffrey Bonn, Esq., Sonn & Erez, PLC. Fort Lauderdale, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02300 Ameriprise Financial Services, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee Kevyn R. Robinson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Ed Magarian, Esq., Dorsey & Whitney LLP, Minneapolis, Minneso