Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Bernard Millis vs. Case Number: 10-02151 Respondent Morgan Stanley Smith Barney Frederick Warren Wagner, Jr. Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Bernard Millis, hereinafter referred to as "Claimant" appeared pro se. Respondents Morgan Stanley Smith

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01919 Ameriprise Financial Services, Inc. (Claimant) vs. Mark Nickels (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Mi. Respondent appeared pro se, Kingsport. TN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: May 10, 2011. CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory not

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01163 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. Respondent Hearing Site: Miami, Florida Luis O. Lopez, Jr. Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Fiore & L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Robert Goldenberg Case Number: 09-06573 vs. Respondents Douglas Castro Charles Schwab & Co., Inc. Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Goldenberg, hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants Inc., Brookly

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02204 Morgan Stanley & Co., inc., Claimant vs. Joey Wade Dean, Respondent REPRESENTATION OF PARTIES: For Claimant: Brian R. Mills, Esq., Todd Ratner PLC, Richmond, VA. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: May 27, 2011 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. The cause of action relates to Respondents all

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06057 Wells Fargo Advisors, LLC vs. Respondent Hearing Site: Washington, D.C. Joseph M. Wagner Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Jonathan Levine, Esq., Law Office of Daniel S. Fiore, Arlington, VA. Respondent Joseph

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06593 Jeffrey A. Barnes vs. Morgan Keegan & Company, Inc. REPRESENTATION OF PARTIES: For Jeffrey A. Barnes, hereinafter referred to as "Claimant": Richard S. Frankowski, Esq., Burke Harvey & Frankowski, LLC, Birmingham, Alabama. For Morgan Keegan & Company, Inc., hereinafter referred to as "Respondent": Sarah Larson, Esq., Maynard, Cooper & Gale, P.C., Birmingham, Alabama. NATURE OF DISPUTE: Customer v. Member

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Estelle W. Thompson Case Number: 10-03515 vs. Respondent Morgan Keegan & Company, Inc. Hearing Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Estelle W. Thompson, hereinafter referred to as "Claimant": William J. Gladden, Esq., Savannah, GA. Respondent Morgan Keegan & Company, Inc., hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-07219 Andre Weiss Andre Weiss as Cust. for Sarah Weiss Andre Weiss as Cust. for Julian P. Weiss Respondent Hearing Site: Boca Raton, Florida Morgan Keegan & Company Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES For Andre Weiss, Andre Weiss as Cust. for Sarah Weiss and Andre Weiss as Cust. for Julian P. Weiss, her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11 -01894 Morgan Stanley & Co., Incorporated vs. Respondent Hearing Site: Denver, Colorado Bryant Sean Hayward Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Incorporated, ("Claimant"): Mauricio S. Beugelmans, Esq., Hand Baldachin Amburgey LLP, New York, NY. Respondent Bryant Sean Hayw