Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiaimant: Case Number 08-02255 Hung Hoang Name of the Respondent: Hearing Site: San Francisco, Califomia TD Ameritrade, Inc. Natore of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Hung Hoang, hereinafter refened to as "Claimant": James T. Kim, Esq., Attomey at Law, San Jose, Califomia Respondent TD Ameritrade, Inc., hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 08-02048 Carol H. Ruch Respondent Hearing Site: Denver, Colorado Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Carol H. Ruch, hereinafter referred to as "Claimant": Thomas L. Krebs, Esq., Haskell Slaughter, Bimfiingham, Alabama. Respondent, Morgan Keegan & Company, Inc., hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ciaimante Case Number 08-03736 Natesha Shiiapnilcoff Rodion Nahapetov Respondent Hearina Site: Los Angeles. Caiifbmla Citigroup Global Maritete, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Natasha Shiiapnikoff and Rodion Nahapetov. hereinafter collectively refened to as "Claimants": Kiric G. Smith. Esq., Shepherd Smith Edward

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: NameoftheCiaimant Case Number 08-03675 Robert Scott Buchanan Name of the Respondent Hearing Site: Oriando, FL Fidelity Brokerage Services, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Robert Scott Buchanan, hereinafter refened to as "Claimant", appeared pro se. For Fidelity Brokerage Sen^ices, LLC ("Fidelity"), hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiaimant Case Number: 08-02871 Morgan Stanley & Co.. Inc. Name of the Respondent Hearing Site: Washinoton. D.C. John Andrews Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Inc. ("Morgan Stanley"), hereinafter referred to as "Claimant": Alan S. Brodherson, Esq.. Law OfTices of Alan S. Brodherson, New Yor1<

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01271 Gilbert S. Meem, Jr. and Knight Patterson Meem ("Claimants") vs. Wachovia Securities, LLC ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Howard Meyers, Esq., New Yori( Law School Legal Services, IncNewYori^, NY. For Respondent appeared Beverly Jo Slaughter. Esq., Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customers v. Member DATE FILED: March 9, 2009 CASE SUMMARY

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00561 Barbara Ann Tutt ("Claimant") vs. Fidelity Brokerage Services. LLC ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared David M. Tutt, Frisco, TX. For Respondent appeared Diane M. Brown. Esq.. Fidelity Brokerage Services LLC. Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 31, 2009 CASE SUMMARY: Claimant alleged that Respondent unsuitably placed her money in aggressive

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00505 America's Choice Equities, LLC ("Claimant") vs. Christopher Caiandrino ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, Streetwide Asset Recovery Group, Inc.. Lyndhurst. NJ. Respondent appeared pro se. Lake Ronkonl< oma, NY. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 30, 2009 CASE SUMMARY: Claimant alleged that Respondent has failed to repay a balance owed pu

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04906 Fidelity Brokerage Services, LLC ("Claimant") vs. David Griswold ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C.. Quincy. MA. Respondent David Griswold did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: December 22,2008 CASE SUMMARY: Claimant alleged that Respondent is li

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04802 Jean Francis Schirard on behalf of the Jean Francis Schirard Charles Schwab and Co., Inc., CUST IRA Contributory, and Jean Francis Schirard, Joseph P. Schirard, and Lisa Buchanan as joint tenants ("Claimants") vs. Charles Schwab and Co., inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Mamie C. Lambert, Esq., David P. Meyer and Associates Co., LPA, Columbus, OH. For Respondent appeared Ev