FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01353 Katherine C. Knowlden Ryerson, ("Claimant") vs. Primevest Financial Services, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se. Taneytown, MD. For Respondent appeared Thomas Vays, Esq.. of the firm Winget, Spadafora & Schwartzberg. LLP. New York. NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 28. 2008 CASE SUMMARY: Claimant alleged that Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00750 Michael Stoltz, ("Claimanf) vs. Raymond James & Associates. Inc. and Barton Lester Young, ("Respondents") ATTORNEYS: Claimant appeared pro se, Talkeetna, AK. For Respondents appeared in-house ajunsel, Ketii Bullington, f>t. Petersburg, FL. NA'IURE OF DISPUTE: Customer v. Member and Associated Person DATF FILED: March 12, 2008 CASE SUMMARY. Claimant alleged that Respondents fa

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00689 Morgan Stanley & Co., Incorporated (formerly Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Orlando. Florida Jonathan W. Stewart Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Incorporated, hereinafter refen^d to as "Ciaimant": D. Daxton White, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03227 Bayan and Feda Abu Jamous Names of the Respondents Hearing Site: Richmond. VA Wachovia Securities, inc. A.J. Keyser Robert Schneiier Prudential Bache Commodities, LLC Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Bayan and Feda Abu Jamous, hereinafter collectiv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-01569 John Scaramella Name of the Respondent Hearing Site: Denver, Colorado Memll Lynch, Pierce. Fenner & Smith. Incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. John Scaramella. Golden, Colorado, appeared pro se. Respondent. Merrill Lynch, Pierce, Fenner & Smith. Incorporated: Bradley B.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services inc. vs. Case Number: 07-02149 Hearing Site: Pittsburgh. Pennsylvania Name of Rescwndent Carl J. Anderson. Member vs. Associated Person UBS Financial Services Inc. ("Claimanr) was represented by Anthony J. Borrelli, Esq.. Riker, Danzig.Scherer, Hyland & Pen'etti LLP. Monristown. New Jersey. Claimant was represented by Lauren H

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01545 Dawson James Securities, Inc., ("Claimant") vs. Chanchal Mehta, ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel, Monique MacLaren, Esq., Boca Raton, FL Respondent appeared pro se, Dania, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 14. 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies owed

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00940 Yuan Sun, ("Claimant") vs. Banc of America Investment Services, Inc., ("Respondent") ATTORNEYS: For Claimant appeared Russell M. Odell, Esq., of the finn Russell M. Odell, Attorney at Law, Bellevue. WA. For Respondent appeared George F. Meierhofer, Esq., of the firm Becker & Poliakoff, LLP., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 31, 2008 C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Lobato (Claimant) vs. H&R Block Financial Advisers, Inc. (Respondent) Case Number: 07-03628 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Lobato hereinafter referred to as "Claimant" appeared pro se. Respondent H&R Block Financial Advisers, Inc., hereinafter referred to as "Respondent": Edward A. Walt

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00102 Hong Man Chan, ("Claimant/Counterciaim Respondent") vs. UBS Financial Sen/ices inc., ("Respondent/Counterclaini Claimant") ATTORNEYS: For Claimant/Counterclaim Respondent appeared Wai Mon Chan, New Yoric, NY. For Respondent/Counterclaim Claimant appeared in-house counsel Jon D. Kaplan, Esq., New Yoric, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 11,2008