Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 08-02399 Kimberiy W. Hutcheson Name of Respondents Hearing Site: Dallas. Texas Citigroup Inc. Citigroup Global Markets Inc. Stephen Caine Audrey Gibson Gary Cartay Nature of Dispute: Associated Person vs. Member. Non-Member and Associated Persons REPRESENTATION OF PARTIES Claimant Kimberiy W. Hutcheson, hereinafter referred to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04053 Chanht Reatrey Keo (Claimant) vs. Scottrade Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Rafael, CA. For Respondent appeared Les B. Hairrell, Esq., Los Angeles, CA and Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 13, 2010 CASE SUMMARY: Claimant alleged that Respondent improperly charged her acco

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04755 Andrew Schroder (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Delray Beach, FL. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 18, 2010 CASE SUMMARY: Claimant asserted the following causes of action: errors in processing orders; unauthorized transactions; negligence;

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Loren J. Hulber (Claimant) vs. Wachovia Securities, LLC (Respondent) Case Number: 08-03635 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Loren J. Hulber, hereinafter referred to as "Claimant": Joel D. Feldman, Esq., Anapol, Schwartz, Weiss, Cohan, Feldman & Smalley, P.C., Philadelphia, PA. Respondent Wacho

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04627 June S. McAnally Revocable Living Trust, By and through William H. Watkins, Jr., as Trustee (Claimant) vs. Morgan Keegan & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: ~ For Claimant appeared Robert Wayne McPherson, Esq., McPherson Law Office, Memphis, TN. For Respondent appeared Ryan R. Baker, Esq., Bass, Berry & Sims PLC, Memphis, TN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 12, 2

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co., Incorporated vs. Case Number: 09-05623 Hearing Site: Dallas, Texas Name of Respondent Monica Lorena Aguayo NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant") was represented by Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Monica L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Wallace Larson and Shirley Larson vs. Case Number: 09-04506 Hearing Site: Minneapolis, Minnesota Names of Respondents QA3 Financial Corp. and Howard J. Egeland NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Wallace Larson and Shirley Larson, hereinafter collectively refen'ed to as "Claimants," were re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 09-05959 Iliana Perales Name of Respondents Hearing Site: Phoenix, Arizona Chase Investment Sen/ices Corp. Chase Bank Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Iliana Perales, hereinafter refenred to as "Claimanf: Mark D. Chester, Esq., Chester & Shein, P.O., Scottsdale, Arizona.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 11-00329 Morgan Stanley & Co. Incorporated Name of Respondent Hearing Site: Phoenix, Arizona Steve G. Kelly Nature of tiie Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co. Incorporated hereinafter referred to as "Claimant": Matthew Schurter, Esq., Morgan Stanley Smith Barney, Chicago, Illinois.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant/Counter-Resoondent Banc of America Investment Services. Inc. vs. Case Number: 09-01692 Hearing Site: Chicago. Illinois Name of Respondent/Counterclaimant Travis N. Sheets NATURE OF THE DISPUTE Member vs. Associated Person RgPRESENTATIQN OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Diane C. Fisch