Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03259 Molly Faulk and Joseph E. Faulk, as Co-Executors of the Estate of Sarah E. Faulk Names of the Respondents Hearing Site: Birmingham, Alabama Morgan Keegan & Company, Inc., Synovus Securities, Inc.. George Wood, Todd Parsons. Woodley Bagwell, and Rebecca Gonzales Nature of the Dispute: Customer vs. Member and Associated Per

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01659 Herbert Cover III, Trustee of A.B. Cover Tmst Name of the Respondent Hearing Site: Richmond. VA Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Herbert Cover III, Trustee of A.B. Cover Trust, hereinafter referred to as "Claimant": Howard B. Prossnitz. Esq.. Law Offices of

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Ricardo Rodriguez (Respondent) Case Number: 08-01303 Hearino Site: New York. New Yorl^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant American Capital Partners. LLC. hereinafter referred to as "Claimant": J. Christopher Albanese, Esq., American Capital Partners, LLC, Hauppauge, NY. Respondent

FiNRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-04886 Barry N. Shenvin, ("Claimant") vs. Oppenheimer & Co., Inc.. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Milltown, NJ. For Respondent appeared Racquet Terrigno, Esq., In-house Counsel, New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 19, 2008 CASE SUMMARY: Claimant alleged unsuitable recommendation regarding his purchase of Fannie Mae 8.25% Pref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Donald L. Burnham, Jr. and Kelly A. Bumham (Claimants) vs. Morgan Keegan and Company, Inc. (Respondent) Case Number: 08-00893 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Donald L. Burnham, Jr. ("D. Bumham") and Kelly A. Bumham ("K. Burnham"), hereinafter collectively referred to as "Claimants": Timothy J. O'Con

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Frank T. Kim (Respondent) Case Number: 08-02145 Hearing Site: Buffalo, New Yoric Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fisher, Esq., Ronald P. Kane, Esq., and D. Daxton White, E

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04452 Wells Fargo investments, LLC, ("Claimant") vs. Christopher M. Hince, ("Respondent") ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, iL. Respondent Christopher M. Hince did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 25. 2008 CASE SUMMARY: Claimant alleged that Responde

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03794 Lila Kliegman, as Trustee Lila Kliegman Rev. Trust, ("Claimant") vs. Morgan Stanley & Co., Inc., ("Respondent") ATTORNEYS: For Claimant appeared Jeffrey B. Kaplan, Esq., Diamond, Kaplan & Rothstein, P.A.. Miami, FL. For Respondent appeared Brian C. Hale, Esq.. In-house Counsel, Tampa, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 16, 2008 CASE SUMMARY: Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley & Co., Inc. (Claimant) vs. Michelle Feeley (Respondent) Case Number: 08-03225 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Inc., hereinafter referred to as "Claimant": Alan S. Brodherson, Esq.. Law Office of Alan Brodherson. New York, NY. Respondent Michelle Feeley h

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04910 Deborah C. Walsh. ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared Pro se, Jamestown, NC. For Respondent appeared James J. Vihstadt. Esq., In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 22, 2008 CASE SUMMARY: Claimant alleged that Respondent breached their Client Agreement when it failed to attempt to n