AWARD FINRA DISPUTE RESOLUTION CASE: 10-03995 Gates Family Trust, Griffith G. Gates and Bobbie J. Atchley Gates, TTEES (Claimant) vs. Morgan Keegan & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Griffith G. Gates and Bobbie J. Atchley Gates, Manhattan, KS. For Respondent appeared Eric M. Morris, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 3, 2010 CASE S

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04311 Oppenheimer & Co., Inc. (Claimant) vs. Joseph T. Morrissey (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 24, 2010 CASE SUMMARY: Claimant asserted the following causes of action: overpayment of compensat

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04685 Morgan Stanley Smith Barney LLC (Claimant) vs. Sherry DeGenaro (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Matthew Schurter, Esq., Morgan Stanley Smith Barney, Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 15, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Keith Stock (Claimant) vs. Morgan Stanley Smith Barney and Citigroup Global Markets, Inc. (Respondents) Case Number: 09-06980 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant Keith Stock, hereinafter referred to as "Claimant": Theodore L. Hecht, Esq.. Schnader Har

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Worid-Wide Sports Promotion, Ltd (Claimant) vs. Ameriprise Financial Services, Inc. and Jared Cohen (Respondents) Case Number: 10-00328 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant World-Wide Sports Promotion, Ltd., hereinafter referred to as "Claimant": Steven Michael Schwartz, J.D., Mamaro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mouna H. Hashem (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number. 10-01767 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mouna H. Hashem, hereinafter referred to as "Claimant" appeared pro se. Previously represented by Cynthia Rollings, Esq., Bedlock, Levine & Hoffman LLP, New York, NY. Res

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03318 TD Ameritrade, Inc., a New York Corporation (Claimant) vs. Victor N. Hass, an individual (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq., TD Ameritrade, (nc, Bellevue, NE. Respondent appeared pro se, Springfield, MO. NATURE OF DISPUTE: Member v. Customer " DATE FILED: July 22, 2010 CASE SUMMARY: Claimant asserted the following causes of action; breach of con

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Advanced Delivery & Chemical Systems Holdings, LLC (Claimant) vs. Deutsche Bank Securities, Inc. n/k/a Deutsche Bank Alex Brown (Respondent) Case Number: 08-02908 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Advanced Delivery & Chemical Systems Holdings, LLC, hereinafter referred to as "Claimant": Joseph J. Sulli

Award FlNF^ Dispute Resolution In the Matter of the Ariiitration Between: Name of Claimant Case Number 09-02724 Shelby Joy Rothman Name of Respondents Hearing Site: Los Angeles, California Woodbury Financial Services, Inc. Opinder Kaur Marwah Nature of Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Shelby Joy Rothman, hereinafter refenred to as "Claimanf: William K. Brewer, Esq.. San Diego,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04455 Alan S. Zelenski (Claimant) vs. Richard Bucaro, Jeffrey Thiele, and Wells Fargo Advisors, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Vienna, VA. For Respondents appeared Yoonsun Chung, Esq., Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer v. Associated Persons and Member DATE FILED: October 1, 2010 CASE SUMMARY: Claimant asserted the following causes of ac