Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00773 Estee Gilad Names of the Respondents Hearino Site: Boca Raton, Florida Costa Financial Securities, Inc. Gregory Grigsby Costa Andrew Grigsby Costa Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Estee Gilad, hereinafter referred to as "Claimant": Adolfo J. Anzola. Esq., Blum &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janet M. Drantch (Claimant) vs. Ladenburg Thalmann & C. Inc.. and Michael M. Talley (Respondents) Case Number: 07-03220 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Janet Drantch hereinafter referred to as "Claimant": Eric J. Sussman, Esq.. Eric J. Sussman. Attorney at Law. Baldwin. NY.

Award FINRA Dispute Resolution In the Matter of the Ari3itratlon Between: Names of the Claimants Case Number: 08-00691 Wilbur J. Simmons and Fay M. Simmons Name of the Respondent Hearing Site: Binmlngham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wilbur J. Simmons ("W. SimmonsT and Fay M. Simmons (T. Simmons"), hereinafter collectively referred to as "Claimants": David Neuman,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03464 Sandra F. Johnson, individually and on behalf of the Agnes Fitzpatrick Trust. the Sandra F. Johnson Trust and, Casey Van Orman, a minor; Lisa Van Omrian, individually and on behalf of the Lisa Van Orman Trust Names of the Respondents Hearing Site: Boca Raton, Florida Cantella8iCo..lnc. Jack Chublakian Nature of the Di

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Alvin E. McQuinn and John C. Rutherford, as Trustee of the Alvin E. McQuinn Flite Trust vs. Case Number: 07-03105 Hearing Site: Minneapolis, Minnesota Name of Respondent Wachovia Securities, LLC Customers vs. Member Alvin E. McQuinn and John C. Rutherford, as Tnjstee of the Alvin E. McQuinn Flite Trust ("Claimants") were represented by Mari( J. Br

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stephen Jans vs. Case Number: 07-03257 Hearing Site: Minneapolis. Minnesota Names of Respondents Inten/est International Equities Corporation, Kevin R. Miller. Fringe Benefits Design of Minnesota, Inc.. and Intervest International, Inc. and Name of Counter-Claimant Fringe Benefits Design of Minnesota, Inc., vs. Names of Counter-Respo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Shirish Shah vs. Names of Respondents New Yoric Life Insurance Co. and Nilam Patel Case Number: 07-02377 Hearing Site: Chicago, Illinois DISPUTE Associated Member vs. Non-Member and Associated Person Shirish Shah ("Claimanr) was represented by Mitchell A. Kline, Esq., Law Office of Mitchell A. Kline. Chicago, Illinois. New Yoric Life Ins

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gall Ann Berger Darlow vs. Case Number: 07-02971 Hearing Site: Chicago, Illinois Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. d/b/a Merrill Lynch and Company, Timothy J. Cunningham, Nora Winsberg, Delmar J. Austin, and Kenneth C. Rohr NATURE OF THE DISPUTE Customer vs. Member and Associated Persons Gail Ann Berger Darlow ("Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 08-00432 Harold Sweet and Georgia Sweet Name of the Respondent Hearing Site: Little Rock, Arl^ansas Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Harold Sweet and Georgia Sweet, hereinafter collectively referred to as "Claimants": Andrew Stollmann, Esq., Stoltmann Law Offices. P.C. Chic

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-03505 L. Pauline Clark Revocable Trust, L. Pauline Clark Trustee and Russell Clark Name of the Respondents Hearing Site: Little Rock. Arkansas Morgan Keegan & Company, Inc. J. David Fortenberry Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For L. Pauline Clark Revocable Trust, L. Pau