Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04271 James Merryman Names of the Respondents Hearing Site: Memphis, Tennessee First Tennessee Brokerage, Inc. Christopher Michael Hicl< s Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James Merryman, hereinafter referred to as "Claimant": Lewis Clayton Culpepper, III, Esq., Evans P

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01288 Morgan Keegan & Co., Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Jeremy G. Tintle Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc., hereinafter referred to as "Claimant": Eric Jon Taylor, Esq., Parker, Hudson, Rainer & Dobbs, LLP, Atlanta, Geor

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02401 UBS Financial Services Inc. ("Claimant") vs. Shannon M. Ness-Jackson ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Richard J. Maloney, Esq. and Molly J. Tatman, Esq., UBS Financial Services Inc., Weehawken, New Jersey until on or about August 18, 2010. Thereafter, Brian S. Hormozi, Esq. and Steve Pherson, Esq, of Schuyler, Roche & Crisham, P.O., Chicago, Illinois. Respondent did not appear. NATU

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number 09-02287 Deborah J. Hill, individually and on behalf of IRA Rollover Dated 09/13/92 Name of the Respondent Hearina Site: San Francisco, Califomia Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Deborah J. Hill, individually and on behalf of IRA Rollover Dated 09/13/92, hereina

Award FINRA Dispute Resolution In the Matter of the AdE>itration Between: Claimants Case Number: 07-03064 Lynn L. Monteverde Monteverde Investments, LLC Respondent Hearing Site: Reno. Nevada Hornor, Townsend & Kent, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Lynn L. Monteverde, and Monteverde investments, LLC, hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq., Goodman & N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03335 Don Paul Colcolough and Anna Memmo-Colcolough Names of the Respondents Hearing Site: Washington. P.C. UBS Financial Services, Inc. Stephens, Inc. John J. Colcolough, 111 Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Don Paul Colcolough and Anna Memmo-Colcolough, hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02899 Gary G. Harris Names of the Respondents Hearing Site: Columbia, South Carolina Wachovia Securities, LLC Jeremy Bishop Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gary G. Harris, hereinafter referred to as "Claimant": David C. Alford, Esq., Spartanburg, South Carolina, until

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charlene Haddock vs. Case Number: 09-05756 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Wachovia Securities, LLC, Prudential Securities, Inc., and Stacey Haddock NATURE OF THE DISPUTE Customer vs. Member, Terminated Member, and Associated Person REPRESENTATION OF PARTIES Charlene Haddock ("Charlene Haddock" or "Claimant") was re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James R. Wikert vs. Case Number: 09-01731 Hearing Site: Dallas, Texas Name of Respondent E*Trade Securities, LLC NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES James R. Wikert ("Claimanr) was represented by C. Bruce Willis, II, Esq., Dallas, Texas, as of on or about September 22,2010. Prior to that date, Claimant was

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Baltis (Claimant) vs. Morgan Stanley Smith Barney, LLC, as a successor in name, interest and title to Morgan Stanley & Co., Incorporated and Citigroup Global Markets, Inc., and George C. Danes (Respondents) Case Number: 09-05638 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Baltis h