Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Name of Claimant Case Number: 10-04436 Michael J. McCarthy Name of Respondent Hearing Site: Los Angeles, California Morgan Stanley Smith Barney Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Michael J. McCarthy, hereinafter referred to as "Claimanf: Michael J. McCarthy, pro se. San Juan Capistrano. California. Respondent Morgan Stanley

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-02484 Joseph Oiiveira Name of Respondents Hearing Site: San Francisco, California Jackson National Life Insurance Company World Group Securities, Inc. World Financial Group, Inc. Jackson National Life Distributors, LLC Western Reserve Partners, LLC Nathan Rod Terrazas Nikolaos Stylianos Plakakis James Richard Cabral Paula

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number. 09-01469 IDwight Manley Name of Respondent Hearing Site: Los Angeles, California Deutsche Bank Securities, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Dwight Manley, hereinafter referred to as "Claimant": Michael Blumenfeld, Esq., and Robert J. Girard II, Esq., Freeman, Freeman & Smiley, LLP, Los Angeles,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-04018 Wayne M. Wolberg Respondents Hearing Site: Denver, Colorado Jeffry C. Eisnaugle 1^* Financial Services, LLC FSC Securities Corporation Nature of Dispute: Customer vs. Member and Non-Members REPRESENTATION OF PARTIES Claimant, Wayne M. Wolberg, hereinafter referred to as "Claimant" or "Wolberg": Alan C. Friedberg, Esq., Pendleton, Fr

Award FINRA Dispute Resolution In the Matter of the Aris'itration Between: Name of Claimant Case Number 10-03091 Dalton Investmente LLC Name of Respondent Hearing Site: Los Angeles, California Credit Suisse Securities (USA) LLC Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Dalton Inveshnents LLC, hereinafter referred to as "Claimant": Jeffrey Wittenberg, Esq., Wittenberg Law, APC, Sante Monica. California. Resp

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Dolores J. Keener vs. Case Number: 10-01465 Hearing Site: Charleston, West Virginia Names of Respondents/Counter-Claimant Geneos Wealth Management Inc., David M. Arthur. and Investors Financial Advisors, Inc. NATURE OF THE DISPUTE Customer vs. Member, Associated Person, and Non-Member REPRESENTATION QF PARTIES Dolores J. Ke

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Steven E. Wdowka, Individually and on behalf of his IRAs vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 10-01198 Hearing Site: Indianapolis. Indiana NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program/All Public Panel Steven E. Wdowka, Individually and on behalf of his IRAs ("Claimant") was r

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary E. Wright Trust, Mary E. Wright, TTEE vs. Case Number: 09-06207 Hearing Site: Chicago, Illinois Names of Respondents Credit Suisse First Boston LLC, William Gregory Sullivan, and Christopher W. Gardner NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Mary E. Wright Trust, Mary E. W

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02585 Gerald E. Patera Name of the Respondent Hearing Site: Raleigh, North Carolina Seaboard Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gerald E. Patera, hereinafter referred to as "Claimant": J. Anthony Penry, Esq., Penry Reimann, PLLC, Raleigh, North Carolina. For Seaboard Securiti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00040 Barry Burgess Respondent Hearing Site: San Francisco, California Morgan Stanley & Co. incorporated Nature of Dispute: Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant, Barry Burgess, hereinafter referred to as "Claimant": Frederick C. Roesti, Esq., Law Office of Frederick C. Roesti,