Award FINRA Dispute Reeoiution In the Matter of the Arbitration Between: Names of the Claimant Case Number: 08-00928 H. Scott Scherr Name of the Respondent Hearina Site: Baltimore. Maryland Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For H. Scott Scherr. hereinafter referred to as "Claimant": Thomas C. Costello, Esq., West & Costello, LLC, Baltimore, Maryland. For

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert G. Masterson, Elyse K. Masterson, Masterson Family, LLC, Blake Dillon Masterson, and James Brody Masterson vs. Case Number: 08-00956 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Wachovia Securities. LLC, and Azmi "Andy" Y. Fakhoury NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTI

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant ceo Investment Services Corp. vs. Name of Respondent Richmond A. Ashley Case Number: 08-03455 Hearing Site: Chicago, Illinois Member vs. Associated Person ceo Investment Sen/ices Corp. ("Claimant" or "CCO") was represented by David M. Belcher, Esq. and Christine R. Fitzgerald, Esq., Belcher, Stan* & Fitzgerald. LLP, Boston, Massachusetts. Ri

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Financial Networi< Investment Corporation and Homeland Credit Union vs. Names of Respondents Mari( H. Justice, Justice Financial Sen/ices, Inc. and Mark Justice Financial, Inc. Case Number: 08-03522 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Member and Non-Member vs. Associated Person and Non-Members REPRESENTATION OF PARTIES F

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co., Incorporated vs. Case Number: 08-04115 Hearing Site: Chicago. Illinois Name of Respondent Gary T. Shorter Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant" or "Morgan Stanley") was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq., and David H. Smith, Esq., Kane & Fi

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 07-02439 iy4organ Stanley & Co.. Incorporated Name of the Respondent: Hearing Site: Houston. Texas Randal W. Spears Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Incorporated hereinafter referred to as "Morgan Stanley": Thonnas A. Volz, Esq.. Kane & Fischer. Ltd., Chi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01074 Patty Mattson ResDondents Hearing Site: Los Angeles, California Lawrence ira Goldstein Ronald Lee Gershon Oppenheimer & Co. Inc. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Patty Mattson hereinafter referred to as "Claimant": Steve Buchwalter, Esq.. Steve A. Buchwalter, P.C, Enci

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02068 Charles Schwab & Co., Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Banc of America Investment Sen/ices, Inc. Javier Aviles Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATIOli OF PARTIES For Charles Schwab & Co.. Inc., hereinafter referred to as "Claimant^: Susan M. Guerette, Est\.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03570 Jerome Woods. Jr. & Dana Woods Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES For Jerome Woods, Jr. & Dana Woods, hereinafter referred to as "Claimants": H. Naill Falls. Esq., Falls & Veach, Nashville, TN. For Morgan K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 07-03521 Elisa M. Corbo Frank C. Cortx) and Elisa M. CoriDo Tmst Elisa M. Corbo UTMA FL, Custodian Franl( C. Corix) Name of the Respondent Hearino Site: Tampa, Florida Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member. RgPRgSEWTATIOM OF PARTIES For Elisa M. Corbo, Franl( C. Cortx) and Elisa M. Corix) Trust,