Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01327 Palmer S. Albertine Kathy M. Albertine Jon D. Albright Sam Davis Suzan Davis William D. Irvine Amy R. Irvine Peter Tashie Kendall S. Tashie Names of the Respondents Hearing Site: Memphis, Tennessee Morgan Keegan & Company, Inc. Regions Financial Corporation Nature of the Dispute: Customer vs. Member and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04114 Search Ministries, Inc. Name of the Respondent Hearing Site: Baltimore, Maryland Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Search Ministries, Inc., hereinafter referred to as "Claimant": Gary R. Long, Vice President of Administration, Search Ministries, Inc., Elliot

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-03372 Melisa Ann Stone Jerry C. Stone Names of the Respondents Hearing Site: Little Rock, Arkansas Morgan Stanley Smith Barney James Patrick Kinnally Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Melisa Ann Stone ("M. Stone") and Jerry C. Stone ("J. Stone"), hereinafter collectively

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07229 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia David Pressly Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services. Inc., hereinafter referred to as "Claimant": Jordan D. Weinreich, Esq., Riker, Danzig, Scherer, Hyland & Perretti L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06055 Gary Hillert Name of the Respondent Hearing Site: Boca Raton, Florida The GMS Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gary Hillert, hereinafter referred to as "Claimant": Adolfo Anzola, Esq., Blum & Silver, LLP, Coral Springs, Florida. For The GMS Group, LLC, hereinafter referred

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03995 Gates Family Trust, Griffith G. Gates and Bobbie J. Atchley Gates, TTEES (Claimant) vs. Morgan Keegan & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Griffith G. Gates and Bobbie J. Atchley Gates, Manhattan, KS. For Respondent appeared Eric M. Morris, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 3, 2010 CASE S

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04311 Oppenheimer & Co., Inc. (Claimant) vs. Joseph T. Morrissey (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 24, 2010 CASE SUMMARY: Claimant asserted the following causes of action: overpayment of compensat

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04685 Morgan Stanley Smith Barney LLC (Claimant) vs. Sherry DeGenaro (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Matthew Schurter, Esq., Morgan Stanley Smith Barney, Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 15, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Keith Stock (Claimant) vs. Morgan Stanley Smith Barney and Citigroup Global Markets, Inc. (Respondents) Case Number: 09-06980 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant Keith Stock, hereinafter referred to as "Claimant": Theodore L. Hecht, Esq.. Schnader Har

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Worid-Wide Sports Promotion, Ltd (Claimant) vs. Ameriprise Financial Services, Inc. and Jared Cohen (Respondents) Case Number: 10-00328 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant World-Wide Sports Promotion, Ltd., hereinafter referred to as "Claimant": Steven Michael Schwartz, J.D., Mamaro