Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles R. LaBay and Patricia L. LaBay (Claimants) vs. Paul A. Ligor, Jr. and Integrity Brokerage Services, Inc. (Respondents) Case Number: 09-06801 Hearing Site: Augusta, Maine Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Charles R. LaBay ("C. LaBay") and Patricia L. LaBay ("P. LaBay"), hereinafter collectively referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-06478 Gilbert Rosenthal and Lora A. Rosenthal Names of the Respondents Hearing Site: Washington. DC E*Trade Securities, LLC Erik Beachley Peter Wight Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gilbert Rosenthal and Lora A. Rosenthal, jointly, and Gilbert Rosenthal, individuall

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants ' Case Number: 09-03797 Hermon E. Smith Rosemary Smith Name of the Respondent Hearing Site: Raleigh, North Carolina Genworth Financial Securities Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Hermon E. Smith ("H. Smith") and Rosemary Smith ("R. Smith"), hereinafter collectively referred to as "Claimants": Andrew 0. W

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07259 Janney Montgomery Scott, LLC Name of the Respondent Hearing Site: Atlanta. Georgia Daniel A. Petit Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Michael D. Jones, Esq., Reed Smith, LLP, Philadelphia, PA. Daniel A. Petit,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03285 Joseph E. Mercer Name of the Respondent Hearing Site: Oriando, Florida Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joseph E. Mercer, hereinafter referred to as "Claimant": Peter Mougey, Esq. and Kristlan P. Kraszewski, Esq., Levin, Papantonio, Thomas, Mitchell, Echsner

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Narrie of the Claimant Case Number: 09-06370 Vivian Escandon Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Vivian Escandon, hereinafter referred to as "Claimant": V. Michael Arias, Esq., V. Michael Arias, P.A., Coral Gables, FL. For Morgan Stanley & Co., In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02179 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent Hearing Site: Honolulu, Hawaii Carolyn J. Haik Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Gregg W. Marsano, Esq., Rubin, Fortunate & Harbison P.

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Clarice P. Shuck, as Trustee of The Shuck Family Tmst (Trust A) DTD 05/24/05 and General Partner of Shuck Limited Partnership, A Texas Limited Partnership Name of the Respondents Royal Alliance Associates, Inc. James L. Lossy James Leroy Losey, Jr. Wealthcare Alliance, Inc. Case Number 09-05576 Hearina Site: Los Angeles, Califomia

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC vs. Case Number: 1Q>02108 Hearing Site: Dallas, Texas Name of Respondent Michael Shaw MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Hazlet, New Jersey. Michael Shaw ("Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02175 Paula Eisenstein Names of the Respondents Hearing Site: Washington. DC Eric G. Meyers and H. Beck, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paula Eisenstein, hereinafter referred to as "Claimant": John P. Connolly, Esq., Law Offices of John P. Connolly, Alexandria,