Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tania Hartz Appell, Claimant v. A.G. Edwards & Sons, Inc. and John F. Lee. Respondents Case Number: 05-01209 Hearina Site: Los Anaeles. California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Debra A. Opri, Esq. Opri & Associates Beverly Hills, California For Respondents: Daryl S. Landy, Esq. Morgan

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Mildred E. Bierce, MLPF & S Oust FPO Mildred E. Bierce, IRA FBO Mildred E. Bierce, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 06-01699 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer, Esq. Timothy D. Murphy, Esq. Law Offices of James Ja

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01442 Raymond 8. Marine, ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se. Mobile, AL. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 3, 2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract by the unauthorized sale of stocks. Claimant fu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald Lapera and Donna Lapera (Claimants) vs. Salomon Smith Barney, Keith Silver, and Thomas Locastro (Respondents) Case Number: 05-03923 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Ronald Lapera ("R. Lapera") and Donna Lapera ("D. Lapera"), hereinafter collectively referred lo as "Cla

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01773 Clarke Dodge and Co., Inc. ("Claimant") vs. Jorge Ferreira ("Respondent") ATTORNEYS: For Claimant Clarke Dodge and Co., Inc. appeared Randle B. Carpenter, Jr., Esq., Larchmont, NY Respondent Jorge Ferreira appeared pro se, Staten Island, NY NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 8, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to repay th

Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Martin E. Braam (Claimant) vs. GCO Services, LLC. f/k/a Gruntal & Co., and John Fioretti (Respondents) Case Number: 06-03545 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Martin E. Braam hereinafter referred to as "Claimant" appeared pro se. Respondent GCO Services, LLC, f/k

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vincent Zagami (Claimant) vs. William Dacey, Fred Sundin, Merit Capital Associates, Inc., Source Capital Group, Inc., Russell Newton, and Robert Fitzpatricl< (Respondents) Case Number: 04-03792 Hearina Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Persons and Members. REPRESENTATION OF PARTIES Claimant Vincent Zagami hereinafter referred to as "Claimant

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01734 Oppenheimer & Co., Inc. v. Gregg T. lezza (Claimant) vs. Gregg T. lezza (Respondent) ATTORNEYS: For Claimant Oppenheimer & Co., Inc. appeared in-house counsel John T. McGuire, New York, NY Respondent Gregg T. lezza appeared pro se, East Boston, MA NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 7, 2007 CASE SUMMARY: Claimant alleged that Respondent owed $7,144

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Douglas Costabile (Respondent) Case Number: 07-00983 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant American Capital Partners, LLC, hereinafter referred to as "Claimant": Christopher Albanese, Esq., American Capital Partners, LLC, Hauppauge, NY. Respondent Dou

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gus Kyrkostas and Julie Kyrkostas (Claimants) v. UBS Paine Webber, Inc., Morgan Stanley Dean Witter, Inc., Stratis Zaferiou, Theo Zaferiou, Mr. Permut, Mr. Kroft, and Mr. Jenkin (Respondents). Case Number: 04-05847 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Gus Kyrkostas ("