STIPULATED AWARD FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Kenneth M. Cherrier vs. Name of Respondent Woodbury Financial Services, Inc. Case Number: 09-02516 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Kenneth M. Cherrier ("Claimanr) was represented by Tenence J. Flemming, Esq. and Christopher A. Grgurich, Esq., Lindquist &

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sandra Muns vs. Case Number: 08-03867 Hearing Site: Houston. Texas Names of Respondents Edward D. Jones, LP and Tyler William Johns NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Sandra Muns ("Claimant") appeared pro se. Edward D. Jones, LP ("EDJ") and Tyler William Johns ("Johns"), hereinafter colle

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Morgan Stanley Smith Barney, LLC f/k/a Morgan Stanley DW, Inc. vs. Name of Respondent / Counter-Claimant Mark D. Hopkins Case Number: 08-00743 Hearing Site: Kansas City, Missouri Member vs. Associated Person Morgan Stanley Smith Barney. LLC f/k/a Morgan Stanley DW, Inc. ("Claimanr or "Morgan Stanley") was represented b

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Name of the Claimant Case Number: 08-03931 Edie R. Dooley Names of the Respondents Hearing Site: Fori Lauderdale, Florida Wachovia Securities, LLC Justin J. McLaughlin Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edie R. Dooley, hereinafter referred to as "Claimant": Nelson S. Ebaugh, P.C, Houston, Texas. For Wachovia Securities, LLC

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02937 Ertel Revocable Trust, Joseph and Jean Ertel. TTEE Names of the Respondents Hearing Site: Tampa, Florida Brool< stone Securities, Inc. Tony Turbeville Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ertel Revocable Trust, Joseph and Jean Ertel, TTEE, hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03597 Penson Financial Sen/ices, Inc. Name of the Respondent Hearing Site: Baltimore, Maryland Aaron Holland Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Penson Financial Services, Inc., hereinafter referred to as "Claimant": Jeff Logan, Vice President, Deputy General Counsel, Penson Worldwide, Inc., Dalla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01294 Joseph Wayne Smith and Carol S. Smith Name of the Resoondent Hearing Site: New Orieans, Louisiana Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Joseph Wayne Smith and Carol C. Smith, hereinafter collectively referred to as "Claimants: Andrew Stoitmann, Esq., S

Award FiNRA Dispute Resolution In the Matter of the Arisitration Between: Name of tiie Claimant Case Number: 08-03063 Summit Broicerage Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Neal Smalbach Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Summit Brokerage Services, Inc.. hereinafter referred to as "Claimant": Michael Hill, Esq. and Gary Menzer, Esq., Boca Raton, Florida. Fo

Award FINRA Dtepute Resolution In the Matter of the Arbitration Between: Claimante Case Number 08-01288 William P. Hanwell. Tmstee of the William P. Hanvell Family Tmst WP Harwell and BH Harwell. Co-Tmstees of the Hanvell Family Tmst Respondente Hearing Site: San Diego, Califomia Morgan Keegan & Company, inc. Nature of the Dispute: Customere vs. Memk)er REPRESENTATION OF PARTIES Claimante. William P. Hanvell, Tmstee of the William P.

Award FINRA Dispute Resolution In the Matter of the Arisitratton Between: Claimant Case Number 08-03841 Shannon L. Nichols, Trustee of the Shannon L. Nichols Trust Respondente Hearing Site: Salt Lake City, Uteh Menill Lynch, Pierce, Fenner& Smith Incorporated Citigroup Global Maricete, Inc. Nature of the Dispute: Customer vs. Membere Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant Shannon L. Nichols