Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Estate of David Grynberg (Cteimant) vs. ID Ameritrade, inc. (Respondent) vs. Michaei Grynberg (Third Party Respondent) Case Number: 08-01128 Hearing Site: New Yoric, New Yoric Nature of the Dispute: initial Claim: Customer vs. Member. Third-Party Claim: Memt>er vs. Customer. REPRESENTATION OF PARTIES Claimant Estete of David Grynberg hereinafter refen^ to as "Claimant": Mic

Award FINRA Dteputo Resolution In the Matter of the Arisitratton Between: Name of the Claimant QawNtfmbftr; 09-01766 Gilbert W. MacGregor, Jr. Name of the Respondent Hearing Site: Oriando, FL Wachovte Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION QF PARTIES For Gilbert W. MacGregor, Jr., hereinafter refened to as "Claimant": K. Michael Swann, Esq., Snyderisum, Rishoi & Swann, LLP, Mattiand, FL. For Wachovia Se

Award RNRA Dteputo Resolution In the Matter of tiie Ariaitration Between: Name of ttie Ciaimante Case Number 08-02804 Alabama Reinsurance Trust Fund Alabama Association General Contractore Inc. Name of the Respondent Hearing Site: Bimningham, AL Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Atebama Reinsurance Tmst Fund CARTF^ and for Alabama Association General Contractors Inc. fA

Award FiNRA Dteputo Resolution In the Matter of the Artntration Between: Name of the Claimant Case Number O&^l 290 Maury Bronstoin, IRA Name of the Resoondente Hearing Site: Memphis, Tennessee Morgan Keegan & Company, inc. Regions Financial Corporation Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Maury Bronstein, IRA. hereinafter referred to as "CteimanT: Date i^better, Esq., LedbeUer & Associat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Numtwr 09^1424 Michael Healy David Chappelle Name of the Respondent Hearing Site: Charlotte. North Carolina Banc of America Securities. LLC isiature of the Dispute: Associated Person vs. Memt>er. REPRESENTATION OF PARTIES For Michaei Healy CHealy^ and David Chappeiie ("Chappelle"). hereinafter collectiveiy referred to as "Ciaimants": Louis

Award FINRA DIaputo Reeolutlon In the Matter of the Arbitratton Between: Names of the Ctaimante Case Number 09-03013 ArthurG. Lang, III and Debordh L. Lang, IndivMually and on Behalf of their IndivMual Retirement Accounte Name of the Reaoondent Hearing Site: Rtohmond, Virglnta Wachovta Securittas, LLC Nature of the Dispute: Customer vs. Member. Publto Arbitrator Rtot Program/All Publto Panel REPRESENTATION OF PARTIES For Arthur G.

Award FINRA DIaputs Reeolutlon In the Matter of the Ariditratlon Between: Name off the Claimant Case Number 09-01631 ix>w8B B. Painter Name off the Respondent Hearina Site: Oriando. Florida Merrill Lynch, Pleroe. Fenner & Smith Ina Nature of ttw Dlsputa: Customer vs. Member. Public Art)itrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES For Ijoulse B. Painter, hereinafter refened to as 'Claimant': Philip J. Snyderbum, Esq..

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James and Peggy Tayior vs. Case Number 09-01388 Hearing Site: Daiias, Texas Name of Respondent Edward D. Jones & Co., L.P. MATURE QP THE DISPUTE Customers vs. Memk>er Pubilc Arbitrator Pilot Program/Ail Public Panel REPRESEMTATIQM OF PARTIES James and Peggy Taylor ("Claimants") were represented by Bruce D. Oakes, Esq. and Richard B. Fosher,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06424 Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC (Claimant) vs. Brian Gass (Respondent) REPRESENTATION OF PARTIES: For Ciaimant appeared Michael S. Colombo, StreetWIde /\sset Recovery Group, inc., Haziet. NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 11.2009 CASE SUMMARY: Claimant asserted the following cause of ac

Award FINRA Dtoputo Reeolution in ttie Matter of the Aristtration Between: Name of the Claimant Case Number 09-03398 Cttlgroup Global Maricete, Inc. Name of ttie Respondent Hearing Site: Littfe Rock, Aricansas Donald James Psui Natore of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Cttlgroup Global Maricete, Ina, hereinafter referred to as "Claimant": Catento T. Facher, Esq. and Lauren Fox, Esq., Aionso, Andaikar &