Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00377 Michael J. Preston Names of the Respondents Hearing Site: Raleigh. NC David Bass Arena Capital Advisors. LLC Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael J. Preston, hereinafter referred to as "Claimant", appeared pro se. For Respondents David Bass ("Bass") and Are

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00112 Brandon Henry Name of the Respondent Hearina Site: Denver, Colorado Cascade Financial Management, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Brandon Henry, hereinafter refen^d to as "Claimanf: Merit J. Appleton. Esq., Mosley, Busser & Appleton, P.C., Derwer, Colorado Respondent,

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00315 Aubrey Wright Martha Wright Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Aubrey Wright ("A. Wright") and Martha Wright ("M. Wright"), hereinafter collectively refenred to as "Claimants": Andrew Stoltmann, Esq.. Sto

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant A.G. Edwards & Sons, Inc. vs. Case Number: 07-02742 Hearing Site: St. Louis, Missouri Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Richard V. Marcolla, Robert D. Bany, Thomas Cutrene, Krista Savage, Joyce Glanzman. Karen Loeschen, Gene Harehman, and William R. Easteriing, Jr. NATURE OF THE DISPUTE Customer vs. Member and Ass

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas A. Follmer and Bernice Foilmer vs. Case Number: 08-00251 Hearing Site: Minneapolis, Minnesota Names of Respondents ProEqulties. Inc.. Bradley John Freimark, Safe Harbor Retirement Solutions, LLC. and Allianz NATURE OF THE DISPUTE Customers vs. Member. Associated Person, and Non-Members REPRESENTATION OF PARTIES Thomas A. Follmer and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Goodwill Holdings, LDC vs. Case Number: 05-05747 Hearing Site: Houston, Texas Name of Respondent Goldman, Sachs and Company NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Goodwill Holdings, LDC ("Claimant" or "Goodwill Holdings") was represented by Thomas R. Ajamie, Esq.. Ajamie. LLP, Houston. Texas. Goldman, Sachs and C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03290 Patricia A. Gorsid Names of the Respondents Hearina Site: Orlando, FL Pnjdential Equity Group, LLC Richard Geiger Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia A. Gorsld. hereinafter referred to as "Claimant": Allan P. Whitehead, Esq.. Frese, Hansen, Anderson, Anderson,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Joel Kantor, Sue and Joel Kantor, and Brant Kantor (Claimants) vs. E*Trade Securities LLC (Respondent) Case Number: 07-03417 Hearing Site: New York. New YorK Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Joel Kantor ("J. Kantor"), Sue and Joel Kantor ("S. and J. Kantor'), and Brant Kantor ("B. Kantor") hereinafter collectively referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Christofaro (Claimant) vs. E^Irade Securities LLC (Respondent) Case Number: 08-00487 Hearing Site: Providence. Rhode Island Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mark Christofaro hereinafter referred to as "Claimant": Pamela E. Berman. Esq., Adier Pollock & Sheehan P.C. Boston. MA. Respondent E*Trade Securities LLC hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Sardis, Lauren Sardis. and JAS Holding Corporation (Claimants) vs. Sofia Franket, Goldman Sachs and Company, and Lehman Brothers, Inc. (Respondents) Case Number: 04-03481 Hearing Site: New York. New York Nature of the Dispute: Customers vs. /Associated Person and Members. REPRESENTATION OF PARTIES Claimants Jeffrey Sardis ("J. Sardis"), Lauren Sardis ("L. Sardis"), and JAS