FINRA Awards for Louis Rosenwein

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
06-01063	07/10/2009	Claimant(s): Louis Rosenwein, Meredith Rosenwein, TTEE f/b/o Robert Claimant Lawyers(s): R. Jeffrey More Respondent(s): Ralph Esposito, Janney Montgomery Scott LLC Respondent Lawyers(s): Lionel G. Hest Arbitrator(s): Orestes J. Mihaly, Paul Weinberg, James M Coakley Hearing Site: New York, NY		Stipulated Award and Expungement
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