AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant i\1organ Stanley & Co., Incorporated vs. Case Number: 08-0076g Hearing Site: Chicago. Illinois Name of Respondent Todd R. Potter Member vs. Associated Person Morgan Stanley & Co.. Incorporated ("Claimant" or "Morgan Stanley") was represented by Philip J. Campisi. Jr.. Esq., Westennan Ball EdererMiller& Sharfetein. Mineola. New York. Todd R. Potter (

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03476 Virginia McGaughran Omega Psychology Center, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Ameriprise Financial Services Omnlvest, Inc. Andrew Jay Boneparth Adam Lee Vila AFS Brokerage, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03116 Janice Owen, Individually and on behalf of the Janice D. Owen IRA Name of the Respondent Hearing Site: Cleanwater, Florida Summit Brolcerage Services, Inc. Nature of the Dispute: Customer vs. Memt>er. REPRESENTATION QF PARTIES For Janice Owen, Individually and on behalf of the Janice D. Owen IRA, hereinafter referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number 07-02792 First Allied Securities, Inc. Respondent Hearing Site: Portland. Oregon Stephen L. Brown Counter-Claimant Stephen L. Brown Counter-Respondent First Allied Securities. Inc. Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent First Allied Securitie

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Wachovia Securities. LLC vs. Case Number: 08-00718 (Hearing Site: Cleveland, Ohio Name of Respondent / Counter-Claimant Diane Spencer Member vs. Associated Person Wachovia Securities, LLC ("Wachovia") was represented by Renan Sugarman, Esq., Chicago, Illinois. Diane Spencer ("Spencer") was represented by Christopher M. DeVito, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John A. Caruso and Georgene M. Caruso (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Wachovia Securities, LLC (Respondents) Case Number: 08-00767 Hearing Site: New Yori< , New York Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants John A. Caruso ("J. Caruso") and Georgene M. Caruso ("G. Caruso"), hereinafter collectively referred

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01290 Russell Hartstein. ("Claimant") vs. Hold Brothers On-Line Investment Services, LLC. ("Respondent") ATTORNEYS: Claimant appeared pro se. New York, NY. For Respondent appeared Martin H. Kaplan. Esq., of the finri Gusrae. Kaplan. Bruno & Nusbaum. PLLC, New York. NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 25, 2008 CASE SUMMARY: Claimant alleged that

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Matthew Ferber (Respondent) Case Number: 07-00984 Hearing Site: New York. New York 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 Mat

Award FINRA Dispute Resolution In the Matter of the Art?itration Between: Name of the Claimant Case Number: 05-00557 Daniel V. Pompilio, III Name of the Respondent Hearing Site: Atlanta. Georgia Goldman. Sachs and Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Daniel V. Pompilio, III, hereinafter referred to as "Claimant": Frank A. Lightmas, Jr. Esq., Lightmas & Oelk, Atlanta, Georgia, and Marion Smith. II, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01836 Charles T. Beam Names of the Respondents Hearing Site: Boca Raton. Florida Triad Advisors, Inc. MIramar Securities. LLC Brad C. Dunlap Banv Carter Hixon Maureen Louise Curto Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charies T. Beam, hereinafter referred to as "Claima