Stipulated Award FINRA Dispute Resolution in ttie Matter of the Arbitration Between: Claimant Case Number 07-03149 Morgan Stanley & Co. incorporated Respondent Hearing Site: Dallas, Texas Andy Williams aica Andrew F. Williams. Jr. Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co. Incorporated hereinafter referred to as "Morgan Stanley" or "Claimant": Robert L. Tobey, Esq.. Johnston

Award FINRA Dispute Resolution in the Matter of the Ariaitration Between: Claimant Case Number: 08-03574 H&R Btock Financial Advisors, Inc. Respondent Hearing Site: Los Angeles, Califomia Thomas K. Heinz Teltscher Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, H &R Block Financial Advisors, Inc., hereinafter refened to as "Claimant": Edward Walton, Esq.. H&R Block Financial Advisors, Inc., Detroit, Mic

Stipulatod Award FINRA Dispute Resolution In the Matlerof the Art)itration Between: Name of the Claimant Case Number 08-00285 GuyHirsch,M.D. Name of the Respondents Hearing SHe: Dallas, Texas Rrst Asset Rnandal Ina SunAmerIca Securities, Inc. and Keny Theo Campbell Nature of the Dispute: Customer vs. Members and Associated Person REPRESEWTATIOli OF PARTIES Claimant, Guy HIrsch, M. D., hereinafter referred to as "Clainfiant": George L

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01777 Myies Klein TTEE FBO MRK Revocable Trust (Claimant) vs. Smith Barney, a Division of Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Aventura, FL. For Respondent appeared Adam Kauff, Esq., Citigroup Global Markets. Inc., New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 26, 2008 CASE SUMMARY: Claimant asserted the following cause of a

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01617 Sarah A. Maseth (Claimant) vs. Citigroup Global Markets, inc. (Respondent) REPRESENTATION OF PARTIES. Claimant appeared pro se, Napervilie, FL. For Respondent appeared Adam Kauff, Esq., Morgan Stanley Smith Barney, New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 23. 2008 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute. The cause of action relates

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: William H. Gurney (Claimant) vs. Robert Lewis and Lewis l^anagement Corporation (Respondents) Case Number: 08-02919 Hearing Site: Buffalo, New Yorl^ Nature of the Dispute: Associated Person vs. Non-Member and Customer. REPRESENTATION OF PARTIES Claimant William H. Gumey, hereinafter referred to as "Claimant" appeared pro se. Respondents Robert Lewis ("Lewis") and Lewis Managemen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Helen Howard (Claimant) vs. Wells Fargo Investments, LLC and David M. Logsdon (Respondents) Case Number: 09-00861 Hearino Site: New Yorl< . New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Helen Howard hereinafter referred to as "Claimant": Neil A. Sussman, Esq.. Sussman & Franl^el, LLP. New York, NY. Respondents We

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00637 Rhonda Louellen Redman (Claimant) vs. Kirk Jay Daniels (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sharpsville, IN. Respondent appeared pro se, Kokomo. IN. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: February 5. 2009 CASE SUMMARY: Claimant asserted the following cause of action: compensation owed. Claim Data Award Data Claim: $5,570.62 Award: $5,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00159 Wachovia Securities, LLC (Claimant) vs. Rocco Licatsi (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. For Respondent appeared James N. Barletti, Esq., Gold, Aibanese & Barletti, Morristown, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 12. 2009 CASE SUMMARY: Claimant alleged that Respondent

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01242 Edward D. Gaul (Claimant) vs. Investors Capital Corp., and Bruce Balkcom (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Wanvick, Rl. For Respondents appeared James A. McGovern, Esq., Marshall, Dennehey, Warner, Coleman & Goggin, Pittsburgh, PA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 9. 2009 CASE SUMMARY: Claimant asserted the following causes