FINRA Awards for Erika L. Altman

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
09-04534	04/30/2010	Claimant(s): Royal Alliance Associates. Claimant Lawyers(s): Erika L. Altman Respondent(s): Patrick McConnell Respondent Lawyers(s): Patrick Joseph McConnell Arbitrator(s): Robert I. Rabinowitz Hearing Site: New York, NY
05-02521	10/18/2007	Claimant(s): Brenda Caswell, Gail Carlson, George Finkbiner, Herbert Hansen, Jane Hoffman, Jane Kercheval, Joyce Alo, Kendall Kelly, Kenneth Caswell, Margaret Huyler, Marguerite Edwards, Ralph Carlson, Rosemary O'Donnell, Earl Kercheval, Elizabeth Hansen, Estate of Eileen McCardle, Antonio and Bernardina Augusto, Frederick and Diane Burmeister, Harold and Janet Bennett, Davison Rugs Profit Sharing Trust Claimant Lawyers(s): Brian A. Carlis, Richard D. DeVita Respondent(s): Royal Alliance Associates., Comprehensive Asset Mgmt and Servicing Respondent Lawyers(s): Brian A. Carlis, Erika L. Altman Arbitrator(s): Ronnie Edward Nichols, Robert T. Kelly, Suzanne Levin Wolfson Hearing Site: Philadelphia, PA		$125,423