FINRA Awards for Homer M. Dalbey

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
09-06884	05/05/2011	Claimant(s): Lillian Kazezski, Stanley Kazezski, Kazezski Revocable Trust DTD 9/26/90 Claimant Lawyers(s): Andrew V. Tramont Respondent(s): Wedbush Securities Inc., Lisa Gallo Respondent Lawyers(s): Charles LaChaussee Arbitrator(s): Paul D. Gutierrez, Homer M. Dalbey, James Conrad Riewerts Hearing Site: San Francisco, CA		$750,000
06-04508	03/10/2008	Claimant(s): David McLaren, Jean-Rene Menand, Pierre Willard, DML Sierra Vista Investments LLC, Gailen Partners, JRM San Antonio Investments LLC, JRM San Antonio Investors., JRM San Antonio Partners, PW Gailen Alto Investors., PW Gailen Investments, RJP Investment Partners, RJP Los Altos Investments LLC, Sierra Vista Partners, Ramesh and Jaya Padmanabhan Claimant Lawyers(s): W. Ralph Canada Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Rita Rothstein, Morgan Stanley Capital Group Respondent Lawyers(s): Eric G. Wallis Arbitrator(s): Frank R Weaver, Homer M. Dalbey, Hadden Wing Roth Hearing Site: San Francisco, CA		Stipulated Award and Expungement