FINRA Awards for et al.

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
08-02040	10/29/2009	Claimant(s): Satish Rampal, Derek Rampal, et al. Claimant Lawyers(s): Mark R. Osherow Respondent(s): Morgan Stanley & Co., Willie Brice Respondent Lawyers(s): Brian C. Hale, Willie J. Brice Arbitrator(s): Peter J. Lavezzoli, Gloria F. Katz, Ellen J. Abrams Hearing Site: Ft. Lauderdale, FL		$0
04-04516	08/13/2007	Claimant(s): Andrew Warshaw, Florence Rosenwein, George Whalen, Lorraine Whalen, Louis Rosenwein, Meredith Rosenwein, Sari Rosenwein, M. Rosenwein cust. Robert Rosenwein, Sari R. Rosenwein Cust Sydney Warshaw, Sari Rosenwein Cust. for Seth Warshaw, G. Whalen FBO Meredith Rosenwein, Lorraine Reich Whalen Trust, M. Rosenwein FBO M. Rosenwein, et al., M. Rosenwein TTEE FBO Jordan Rosenwein, M. Rosenwein TTEE FBO Robert Rosenwein Claimant Lawyers(s): Mark M. Rottenberg Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): James Lico Arbitrator(s): Louis H. Miron, Mary L. Merkle, Joel P. Mellis Hearing Site: New York, NY		$0