FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02268 Esther Hutterer, CCIaimant') vs. Franit A. Quartararo, fRcspondenf) ATTORNEYS: Claimant appeared pro se. New York, NY. Respondent appeared pro se, New York. NY. NATURE OF DISPUTE: Customer vs. Associatsd Person DATE FILED: July 7. 2008 CASE SUMMARY: Claimarit alleged that Respondent placed her in Investments whidT were unsuitable for her needs. Claimant further alleged breach

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02503 Options House, Inc., ("Claimant") vs. Yana Gladtslcov. ("Respondent") ATTORNEYS: For Claimant appeared Lesley Smith, Esq., of the fimfi Schopf & Weiss, LLP, Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. (MATURE OF DISPUTE: Member vs. Customer DATE FILED: July 17, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed as a

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04035 Edward D. Jones & Co., L.P. Names of the Respondents Hearing Site: Tampa, Florida Marc A. Miller II Morgan Keegan & Company, Inc. Nature of the Dispute: Member vs. Associated Person and Member. For Edward D. Jones & Co., L.P.. hereinafter referred to as "Claimant": Christopher A. Pickett. Esq., Goldberg Wehrle LLC, St. L

AWARD FINFIA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David BaJocco and Kathleen Baiocco vs. Case Number: 08-00126 Hearing Site: Southfield. Michigan Names of Respondente American Classic Financial Company, Adolph W. Tieppo, II, Hampton Securities (USA), Inc., North American Clearing, inc. and Traders Advantage a/k/a JW Richards, Inc. Customers vs. Members and Associated Person David Baiocco and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cialmant Roger Lawler Respondent M & W Financial, Inc. Case Number: 07-01261 Hearing Site: Dallas, Texas Counter-Claimant l\1 & W Financial. Inc. Counter-Respondent Roger Lawler Third-Party Claimant M &W Financial, Inc. Third-Party Respondent Jeffrey Lee Wheeler Nature of the Dispute: Customer ys. Member Member ys. Customer Member vs. Ass

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nannes of the Claimants Case Number. 08-00117 Daniel J. Day Living Trust U/A/D 10/10/99 Daniel J. Day and Diane D. Arnold Co TTEES Diane D. Arnold Living Trust U/A/D 10/19/99 Daniel J. Day and Diane D. Arnold Co TTEES Name of the Respondent Hearino Site: Oriando, FL Wachovia Securities, LLC, F/K/A First Union Securities, Inc. Nature of the Dispute: Customer vs.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00667 Palmetto Companies. Inc. Name of the Respondents Hearing Site: Tampa, Florida Morgan, Keegan & Company, inc. John Troy IHoward Nature of the Dispute: Customer vs. Member and Associated Person. i^EPRESENTATION OF PARTIES For Palmetto Companies, inc., hereinafter referred to as Claimant": Richard A. Harrison, Esq., Allen Dell, P.A

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbttration Between: Name of Claimant Morgan Stanley & Co., Incorporated vs. Name of Respondent Kerrie L. Best Case Number: 07-03466 Hearing Site: Indianapolis. Indiana NATURE OF THE DISPUTF Memt>er vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated f/k/a Morgan Stanley DW Inc. ("Claimant" or "Morgan Stanley") was represented by Ronald

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Suzette M. Roth vs. Names of Respondents The Rldenw)od Group Incorporated, National Financial Services. LLC, and Harold M. Magill Case Number: 07-02308 Hearing Site: Detroit, Michigan DISPUTE Customer vs. Members and Associated Person REPRESENTATIOM OF PARTIES Suzette M. Roth ("Claimant") was represented by Anthony V. Trogan, Esq., Antho

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Morgan Stanley & Co., Incorporated Respondent Jon Ross Barnes Case Number 08-00222 Hearino Site: Las Vegas, Nevada Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co., Incorporated, hereinafter referred to as "Claimant" D. Daxton White. Esq., Kane & Fischer Ltd., Chicago. Illinois. Respondent. Jon