Award FINRA Dtepute Resolution In the Matter of ttie Artittration Between: Name of the Cteimant Case Number: 09-02152 Gordon D. Stemper Name of the Respondent Hearina Sfte: Birmingham, Alabama MMLiSI Natore of the Dtepute: Associated Person vs. Memfoer. REPRESENTATION OF PARTIES Gordon D. Stemper, hereinafter referred to as "Claimant," appeared pro se. For MMLISI, hereinafter referred to as "Respondent": Audrey Y. Dupont, Esq. and Carote

Award FINRA Dtepute Reaolution in the Matter of the Aristtratton Belween: Names of the Cteimante Case Number 09-02083 Wetter S. Dellaplna and Cordelia R. Dellaplna as joint tenante wtth right of sunrlvorehip and as trustsss of their respective IRAs Name of the Respondent Hearina Srte: Boca Raton, FL Morgan Stenley & Co., inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wetter S. Deitepina and Cordelia R.

Award FINRA DtoiMito Resolution In the Matter of tiie Art)ttration Between: Name of ttie Cialmant Case Number 09-01926 Carol E. Woffer Name of the Respondent Hearino Stte: Oriando, Ftorida Janney Montgomery Scott, LLC Nature of the Dispute: Customer vs. Memfoer. REPRESENTATION OF PARTIES For Carol E. Wolfer. hereinafter referred to as "Ciaimanf: Philip J. Snydert)um, Esq., Snyderiaum, Rishoi 8i Swann, LLP. Mattland, Ftorida. For Janney Mo

Award FINRA Disputo Resolution In the Matter of the Aristtration Between: Names of the Clalmante Case Number: 09-02462 Lute Davidsohn Susana l.ea De Dayidsohn Roberto Davidsohn' Names of the Respondente Hearing Stte: Miami, Ftorida Atias One Finandai Group, LLC Atlas Weatth Hokllngs Corporation Moises Nudel Jorge Nmn Kalfo Paul DavkJ Weiss NabJre of the Disputo: Customer vs. Memfoer, Non-Member and Assodated Pereon. REPRESENTA

Award FINRA Dtepute Resolution In the Matter of the Aritittration Between: Name of the Cteimant Case Number: 09-02480 Oppenheimer & Co. Inc. Name of the Respondent Hearina Sfte: Boca Raton, Florida Bradley A. Sustain Nature of the Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Cory S. Zadanosky, Esq., Zadanosky & Assodates, PA, Lake Worth, Florida. Bradle

Award FiNRA Dtepute Resoiution In the Matter of ttie AriaitFation Between: Claimant Case Number 07-02318 Wiliiam Eridcson Respondent Hearing Site: San Diego, Callfomte Joe Rex Woods, II Natore of the Dispute: Associated Pereon vs. Assodated Person REPRESENTATION OF PARTIES Claimant, William Erickson, hereinafter rsfierred to as "Ctelmanf: Daniel O. Stemm, Esq., and Joseph P. McCaffiery, Esq., Joseph P. McCaffiery & Associates, Aurora, Ill

Award RNRA Dlspula Resolution In ttie Matter of ttie Art)ttratton Between: Ciaimante Case Number 08-02330 FtoraAnn Miiann WIUIamJ.Kttching Hetena Loewen Jonattian Sendor Virglnte Sendor Jill Sendor-Laychal( Douglas Laychak Respondente Hearing Stte: Denver, Cotorado Bany L. Amstor Homor, Townsend & Kent, Inc. Penn Mutoal Life Insurance Company Crosa-Cteimant Barry L Amster Cross-Respondent Homor, Townsend & Kent

Stipulated Award FINRA Dtepute Resolution in the Matter of the Arbttration Behween: Name of ttia Cialmant Case Number 08-03838 Joann Laskto Name of ttie Respondente: Hearing SHa: IJOS Angeles, Callfomte Banc of America investment Sennces, Inc. PeterJ.Hyan,lll Nature of the Dtepute: Customer vs. Member and Associated Person REPRESENTATION OF PARTJgS Claimant, Joann L^sidn, hereinafter referred to as "Ciaimanf: David N. Lalce, Esq., The

Award FINRA Dispute Resolution in the Matter of tt)e Arbttration Between: Nanne of the Cteimant: Manny Neves Name of the Respondent: Chase Investment Services Corp. fyic/a WaMu investmente, inc. f/k/a WM Financial Services, Inc. Case Number 08-04540 Hearing Sfte: Seattie, Washington Nature of the Dispute: Custonrar vs. Member RgPRESENTATION 9F PARTIES Claimant Manny Neves hereinafter referred to as "Cteimant": Courtiand T. Shafer. Esq.,

Award FiNRA Dispute Resolution In the Matter of the Arbttration Between: Milford Muchnick (Claimant) vs. Morgan Stanley & Co., Inc., and William J. Knowles (Respondents) Case Number 09-02247 Hearino Stte: New Yoric, New Yoric Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Milford Muchnick ("Ciaimanf): Benedict Sliney, Esq., and Henry T. Nguyen, Esq., Leventhai and Sliney, LLP, Roslyn. NY. Resp