AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co., Incorporated vs. Case Number: 09-05623 Hearing Site: Dallas, Texas Name of Respondent Monica Lorena Aguayo NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant") was represented by Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Monica L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Wallace Larson and Shirley Larson vs. Case Number: 09-04506 Hearing Site: Minneapolis, Minnesota Names of Respondents QA3 Financial Corp. and Howard J. Egeland NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Wallace Larson and Shirley Larson, hereinafter collectively refen'ed to as "Claimants," were re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 09-05959 Iliana Perales Name of Respondents Hearing Site: Phoenix, Arizona Chase Investment Sen/ices Corp. Chase Bank Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Iliana Perales, hereinafter refenred to as "Claimanf: Mark D. Chester, Esq., Chester & Shein, P.O., Scottsdale, Arizona.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 11-00329 Morgan Stanley & Co. Incorporated Name of Respondent Hearing Site: Phoenix, Arizona Steve G. Kelly Nature of tiie Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co. Incorporated hereinafter referred to as "Claimant": Matthew Schurter, Esq., Morgan Stanley Smith Barney, Chicago, Illinois.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant/Counter-Resoondent Banc of America Investment Services. Inc. vs. Case Number: 09-01692 Hearing Site: Chicago. Illinois Name of Respondent/Counterclaimant Travis N. Sheets NATURE OF THE DISPUTE Member vs. Associated Person RgPRESENTATIQN OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Diane C. Fisch

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Clayton K. Krause and lla Mae Krause vs. Case Number: 10-00693 Hearing Site: Dallas. Texas Name of Respondent FMSBonds, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Clayton K. Krause and ila Mae Krause ("Claimants" or "Krauses") were represented by Bnjce D. Oakes, Esq., Oakes & Fosher, LLC, St Louis, Missouri un

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney. LLC (Claimant) vs. John F. Moran (Respondent) Case Number: 10-04320 Hearing Site: Newari< , New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C., Cranford, NJ. Respondent John F. Mora

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05617 David Osborne Gillaspy (Claimant) vs. TD Ameritrade, Inc., and Edmonda R. Bowen (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Diego, CA. For Respondent TD Ameritrade, Inc., appeared Melanie L. Ronen, Esq., Keesal, Young & Logan, Long Beach, CA. Respondent Edmonda R. Bowen did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person vs. Member and Customer D

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00202 Wells Fargo Advisors. LLC (Claimant) vs. Kevin D. McFariand (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Nicki Samson, Esq., Michaels, Ward & Rabinovitz, LLP, Boston. MA. For Respondent appeared Paul Yarns, Esq., Goldberg Picket LLC, St. Louis, MO. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: January 14. 2011 CASE SUMMARY: Claimant asserted the following cause of action: br

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04158 K.C. Ward Financial LLC (Claimant) vs. James Mirenda (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Charles Carrillo, K.C. Ward Financial LLC, Ronkonkoma, NY. For Respondent appeared Brian Reis, Esq., New York, NY. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: September 16, 2010 Claim Data Award Data CASE SUMMARY: Claimant asserted the following cause of action: breach of