Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 09-02358 Teri E. Smith, Individually and as Tmstee of the Ruth E. Park Family Tmst Donna J. Wheeler, Individually and as Tnjstee of the Ruth E. Pari( Family Trust Name of the Resoondente: Hearing Site: Phoenix, Arizona Edward D. Gardner Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Nature of the Dispute: Customers vs. Member and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-03092 Morgan Stenley & Co., Incorporated Respondent Hearing Site: Los Angeles, Califomia Robert Lee Mandeville Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stenley & Co., Incorporated, hereinafter referred to as Xlaimanf: Renan I. Suganman, Esq., Renan Sugarman, P.C, Chicago, Illinois. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John V.L. Pany & Susan M. Pany, JTWROS The Concetta V. Feam Taist, U/A DTD 2/13/75. John V.L. Panry, TTEE The John V.L. Pany and Susan M. Pany CR Unitrust, U/A DTD 6/01/06. John V.L. Pany. TTEE Case Number. 09-00840 Names of the Respondents Timothy M. Jemlgan Menill Lynch, Pierce, Fenner & Smith, Inc. Hearino Site: Boca Raton, Florida Natur

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03826 Dennis A. Frye. Jr. (Claimant) vs. Fidelity Brol^erage Services. LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se.. West End. NC For Respondent appeared Christine M. Manna. Esq., Fidelity Investments Institutional Services, Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 22, 2009 CASE SUMMARY: Claimant asserted the following cause of action: negligence. Claim Dat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 09-0094g Vijay Reddy Names of the Respondents Hearino Site: Oriando, Florida NSM Securities, inc. Shondep Sajan Balchandani Sterne Agee Capital Markets, Inc. Sterne Agee & Leach. Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Vijay Reddy, hereinafter referred to as "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01567 Gus B. Denton Priscilla A. Denton Shelby Partners Name of the Respondent Hearing Site: Memphis. Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gus B. Denton, Priscilla A. Denton and Shelby Partners, hereinafter collectively referred to as "Claimants": D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-04360 Kenneith Vernon Rose Names of the Respondents Hearing Site: Cleanwater, Florida GunnAllen Financial, Inc. Neal Smalbach AXA Equitable Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Kenneith Vemon Rose, hereinafter referred to as "Claimant," appeared pro se. For Respondent Neal Smalbac

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-04332 Youlian J. Liao Jincai Chen aJkIa Lucia Chen Name of the Respondent Hearino Site: Atlanta, Georgia Allstate Financial Services, L.L.C. Name of the Third Party Respondent Qi Chen Nature of the Dispute: Customer vs. Member; Member vs. Associated Person. REPRESENTATION OF PARTIES For Youlian J. Liao ("Liao") and Jincai Ch

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Names of the Claimants Case Number: 09-01662 Charles W. and Mary Alice Dammeyer Name of the Respondent Hearing Site: Baltimore. Maryland RBC Capital Maricets Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charies W. and Mary Alice Dammeyer, hereinafter collectively referred to as "Claimants": Jacic J. Shapiro. Esq., Baltimore, Mary

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01264 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton. Florida IHoward S. Walzer Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Andrew Park, Esq., Park Ratner, PLC, Richmond, Virginia. For l-ioward S. Walze