Award FINRA Dispute Resolution In the Matter of the Art>itFation Between: Name of the Claimant Case Number 07-02653 Robert A. Frank Name of the Respondent Hearing Site: Baltimore. Maryland Penis, Baker Watts, Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Robert A. Frank ("Frank"), hereinafter refered to as "Claimanf: Frank L. Kollman, Esq. and Ken C. Gauvey, Esq., Koiiman & Saucier, P.A., Timoniu

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01203 Wells Fargo Investments, LLC ("Claimant") vs. James K. Maurice ("Respondent") ATTORNEYS: For Claimant appeared Diane C. Fischer, Kane & Fischer, Ltd., Chicago, IL. Respondent James K. Maurice did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: April 21, 2008 CASE SUMMARY; Claimant alleged that Respondent failed to honor

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-0408 Ruth I. Farr ("Claimant") vs. PaineWebber Inc., c/k/n/a UBS Services USA. LLC, Prudential Equity Group, LLC, and Wachovia Securities, LLC ("Respondents") ATTORNEYS: For Claimant appeared William L. White, Jr., Wexford, PA. For Respondent Prudential Equity Group, LLC appeared in-house counsel, Kenneth Fuchs, Esq.. New York, NY. For Respondent Wachovia Securities, LLC appeared in-ho

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03252 Richard B. McFarland, ("Claimant") vs. Associated Securities Corp.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Watsonville, CA. For Respondent appeared Teri Zimon, Esq.. of the firm Edgerton & Weaver, LLP. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: November 9. 2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to pay h

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01040 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney. Inc., ("Claimant") vs. Francisco A. Diaz, Jr., ("Respondent') ATTORNEYS: For Ciaimant appeared Gregoiy R. Crochet, Esq., of the firm Kutak Rock LLP, Atlanta, GA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 2. 2008 CASE SUMIVIARY: C

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01353 Katherine C. Knowlden Ryerson, ("Claimant") vs. Primevest Financial Services, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se. Taneytown, MD. For Respondent appeared Thomas Vays, Esq.. of the firm Winget, Spadafora & Schwartzberg. LLP. New York. NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 28. 2008 CASE SUMMARY: Claimant alleged that Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00750 Michael Stoltz, ("Claimanf) vs. Raymond James & Associates. Inc. and Barton Lester Young, ("Respondents") ATTORNEYS: Claimant appeared pro se, Talkeetna, AK. For Respondents appeared in-house ajunsel, Ketii Bullington, f>t. Petersburg, FL. NA'IURE OF DISPUTE: Customer v. Member and Associated Person DATF FILED: March 12, 2008 CASE SUMMARY. Claimant alleged that Respondents fa

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00689 Morgan Stanley & Co., Incorporated (formerly Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Orlando. Florida Jonathan W. Stewart Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Incorporated, hereinafter refen^d to as "Ciaimant": D. Daxton White, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03227 Bayan and Feda Abu Jamous Names of the Respondents Hearing Site: Richmond. VA Wachovia Securities, inc. A.J. Keyser Robert Schneiier Prudential Bache Commodities, LLC Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Bayan and Feda Abu Jamous, hereinafter collectiv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-01569 John Scaramella Name of the Respondent Hearing Site: Denver, Colorado Memll Lynch, Pierce. Fenner & Smith. Incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. John Scaramella. Golden, Colorado, appeared pro se. Respondent. Merrill Lynch, Pierce, Fenner & Smith. Incorporated: Bradley B.