Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01919 l\/lorgan Keegan & Co.. Inc. Name of the Respondent Hearing Site: Little Rock, Arkansas Jimmie W. Thompson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc., hereinafter refen-ed to as "Claimant": Shea O'Brien Hicks, Esq., First Vice President, Associate Attorney for Morgan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 07-02146 E*Trade Financial Corp. Names of the Respondents Hearing Site: Boca Raton, Florida Rodney CarrBsquiiio Scott Halverson Grace Financial, LLC Nature of the Dispute: Non-Member vs. Associated Person and Member. REPRESENTATIQM OF PARTIES For E*Trade Financial Corp., hereinafter referred to as "Claimant": J. Scott l-lumphrey, Esq

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondetit NatClty Investments. Inc. vs. CaseNumt)er: 08-01522 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents / Countar-Ciaimants BPU Investment Management, Inc. and Mari^A. Kovacs Member vs. Member and Associated Person REPRgSEMTATIOM OF PARTIES NatCrty Investments, Inc. ("Claimant" or "NatCity") was represented by Stanley Y

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03572 CIBC World Markets Corp. Name of the Respondent Hearing Site: Washington. D.C. Robert Lynn Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For CIBC World Marl^ets Corp. ("CIBC"), hereinafter refened to as "Claimant": Joseph J. Sullivan, ill, Esq.. Sheindlin & Sullivan, LLP, New Yorl< , NY. For Robe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01366 David Mer Names of the Respondents Hearing Site: Boca Raton, Florida i^lorgan Stanley & (^. inc. Fred Comett Daniel Bellino Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES David Mer, hereinafter referred to as "Claimant", appeared pro se. For Morgan Stanley & Co. Inc. ("Morgan Sta

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 08-01135 Jason Coulter Respondent Hearing Site: Dallas. Texas Morgan Stanley & Co.. Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Jason Coulter hereinafter referred to as "Claimant": Jason Coulter. In Pro Se. Lubbock, Texas. Respondent Morgan Stanley & Co. Incorporated hereinafter referred to as

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number 07-02234 Alan Greenwood Respondents Hearing Site: Dallas, Texas Michael S. Wittenberg Adam Maggio J.P Turner & Company, L.L.C. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Alan Greenwood: Martin P. Unger, Esq., Certllman Balin Adler& Hyman, LLP, East Meadow, New Yori( Respon

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE; 08-02807 First Midwest Securities, Inc., ("Claimant") vs. Daniel Benjamin Vazquez, Sr., ("Respondent") ATTORNEYS: For Claimant appeared in-house Renee Emick, Esq., Bloomington, IL. Respondent appeared pro se, Ladera Ranch, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 8, 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to r

Award FINRA Dispute Resolution In the l\^atter of the Arbitration Between: l\iaxim Group LLC (Claimant) vs. Sidney J. Oliphant (Respondent) Case Number: 08-01732 IHearing Site: New Yorl^, New Yorl< Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant l\^axim Group LLC, hereinafter referred to as "Claimant": Edward L. Rose, Esq. and Christopher G. Massey, Esq., Maxim Group LLC, New Yori< . NY. Respondent Sidney J. Ol

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Avalon Partners, Inc. (Claimant) vs. Charles Bradford Banks (Respondent) Case Number: 08-02661 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Avalon Partners, Inc., hereinafter referred to as "Claimant": Jonathan Kurtz, Esq., Sichenzia Ross Friedman Ference LLP. New York, NY. Respondent Charles Bradford B