Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 0&-08195 Jeny H. Green Residuary Trust. Elizabeth Green, TTEE Names of the Respondents Hearing Site: Boca Raton, Florida Bessemer Investor Services, Inc. Bradford Madison Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry H. Green Residuary Trust, Elizabeth Green. TTEE, hereinafter re

AwaiPd FINRA Dteputo Reeolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-02820 Connte Lee Name of the Respondent Hearing Site: Atlante, GA Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Connte Ijee, hereinafter refened to as '^laimant^: Jason R. Doss, Esq., The Doss Finn, LLC. Mariette, QA. For lUtorgan Keegan & Company, Inc. ("Morgan Keegan*^,

Award FINRA Diaputo Reeolution In the Matter of the Art>itration Between: NameoftheQIaimant Case Number 09-03003 Edward D. Jones & Co., L.P. Names of tfie Respondents Hearing Site: Richmond, Virginia Jason t. Williams Weils Fargo Advisors. LLC Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES For Edwarel D. Jones & Co., L.P., hereinafter refened to as "Claimanf: Christopher A. Pickett. Esq., Goldber

Award FINRA Dispute Resolution JL In the Matter of tiie Arisitration Between: Eric S. May (Claimant) vs. Sandgrain Securities, Inc. (Respondent) Case Number 09-02567 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eric S. May ("Claimant"): Robert A Scher, Esq., Scher & Scher. P.C, Great Neck, NY. Respondent Sandgrain Securities, Inc. ("Respondent"): Robert Giaoovas, Esq.,

Award FINRA Dteputo Reeolution In the Matter of the Arbitration Between: Cteimant Case Number 09-06009 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent HesrlnaSite: IJOS Angetes, California David Sebastian Nllsen Nature of the Dispute: Member vs. Associated Person REPRESENTATiON OF PARTIES Claimant Merrill Lynch, Pterce, Fenner & Smitti Incorporated, hereinafter refened to as "Merrill Lynch" or "Claimant": Jeffrey F.

Award RNRA DIaputo Reeolution In ttie Matter of ttie Art)ltration Between: Name of ttie Cteimant Case Number 08-02032 Invesbnent Professtonals, Inc. Name of ttie Respondent H^flrirTg §)te; Houston, Texas Kevin Lee Mathte Nature of ttie DIsputo: Membervs. Associated Person REPRESENTATiON OF PAHTiES Claimant, Investment Professtonate, Inc., hereinafter refened to as "CteimanT: Christopher H. Tovar, Esq., Investment Professtonate, Inc., San Anto

Award FiNRA DIaputo Reeolution In ttie Matter of the Ariaitraflon Between: Claimant Case Number 08-02012 A^aGeneThaning Respondente Hearing Site: San Francisco, Caiifomte UBS/Paine Webber UBS/Paine Webber Partner's Plus UBS Rnanctel Services Inc. Naturs of the Dispute: Assocteted Person vs. Memk>er and Non-Members REPRESENTATION OF PARTIES Claimant, Ah^a Gene Thaning, hereinafter reterred to as "ClaimanT: James C. Bridgman, Esq., Aspe

Award FINRA Diepute Reeolution In the Matter of ttie Arbitration Between: Morgan Stanley & Co., Incorporated (fonnerly Morgan Stanley DW Inc.) (Cteimant) va. Thomas G. Htoks, III (Respondent) f. 08-01232 Hearing Site: Salt l.ake City, Uteh Nature of ttie Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Incoiporated (fonnerly known as Morgan Stanley DW Inc.), hereinafter refened to as "^laimanT: Gregory S

Award FINRA Dteputo Reeolution In ttie Matter of ttie Arbitration Between: Name of ttie Claimant Case Number 08-00303 Hansuell Overterf Name of ttie Respondent Hearing Site: San Francisco, Callfbmte Morgan Stenley & Co. Incorporated f/k/a/ Morgan Stenley DW Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Hansuell Overturf, hereinafter raferred to as "Claimant": Timottiy A. Canning, Esq., Law Of

Award HNRA DIaputo Reeolution In the Matter of the Arbitratton Between: Name of the Cteimant Case Number 07-00478 Citigroup Global Markete, Inc. Name of the Respondent Hearing Site: Las Vegas, Nevada Nathan J. Lorbtetzkl Name of the Counter-Claimant Nathan J. LortrietzM Name of the Counter-Respondent Citigroup Gtobal Markete, Inc. Name of the Thlrd-Partv Claimant Nathan J. |jort)totzkl Name of the Thlrd-Partv Respondente Rober