Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-02671 Vincent R. and Trade D. Heileson JTTEN Name of Respondents Hearing Site: Los Angeles, California Wells Fargo Investments, LLC Hokon Yun Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Vincent R. and Tracie D. Heileson JTTEN, hereinafter referred to as "Claimants": Anthony B. Gor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04569 Lehman Brothers Holdings, Inc., as assignee of Lehman Brothers Inc. vs. Respondent Hearing Site: New York, New York Jennifer Lorenc Mitchell Nature of the Dispute: Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Lehman Brothers Holdings, Inc., as assignee of Lehman Brothers Inc. hereinafter referred to as "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant James Clifford vs. Case Number: 10-01538 Respondent Morgan Keegan & Company, Inc. Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant James Clifford, hereinafter referred to as "Claimant": Adam J. Gana, Esq., Napoli Bern Ripka LLP, New York, NY. Respondent Morgan Keegan & Company, Inc., herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07080 Inge Lake Pre Schooi, Inc. vs. Respondent Hearing Site: Newark, New Jersey PNC Investments Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Inge Lake Pre School, Inc., hereinafter refenred to as "Claimant": Kim Taylor, Esq., KTK Associates, LLC, New York, NY. Respondent PNC Investments, hereinafter referred t

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Claimant Jayakumar Muthukamatchi Jayakumar Muthukamatchi \RA Case Number: 10-05322 vs. Respondents Citigroup Global IVIarkets, inc. Morgan Stanley Smith Barney Hearing Site: Wilmington, Delaware Nature of the Dispute: Customer / Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Jayakumar Muthukamatchi and Jayakumar Muthukamatchi IRA, hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06271 Gerald Prud'homme and Barbara Prud'homme Respondent Hearing Site: Savannah, Georgia Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gerald Prud'homme ("G. Prud'homme") and Barbara Prud'homme ("B. Prud'homme"), hereinafter collectively referred to as "Claimants": Fred S. Clark,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05028 The William Dale Kelly and Joan Hull Trust Respondents Hearing Site: San Francisco, California Investment Security Corporation Lawrence Benjamin Miller Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant The William Dale Kelly and Joan Hull Trust ("Claimant"): Benjamin Lapin, Esq., Stock Market

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Eugene Shigeki Wakai Respondents Audrey Marl Kuwabara Michael Cheng Ning Case Number: 10-05095 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Associated Person vs. Associated Persons REPRESENTATION OF PARTIES Claimant Eugene Shigeki Wakai ("Claimant"): Pro Se, Honolulu, Hawaii. Respondent Audrey Mari Kuwabara ("Kuwabara"): Pro Se, Torrance, Califor

Award FINRA Dispute Resolution In the Matter of the Arbitration BebA/een: Claimant(s) Michael Colombino Case Number: 10-04424 vs. Respondent(s) Ashraf Elghandour Morgan Stanley & Co., Incorporated Morgan Stanley Smith Barney Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Michael Colombino, hereinafter referred to as "Claimant": William C. Rand,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-03548 Ygondine W. Sturdivant Mike P. Sturdivant Nancy Sturdivant Respondent Hearing Site: Jackson, Mississippi Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ygondine W. Sturdivant ("Y. Sturdivant"). Mike P. Sturdivant ("M. Sturdivant") and Nancy Sturdivant ("N. Sturdivant"), hereinafte