Award FiNRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 09-06760 Hathaway Family Holdings, LLP, David S. Hathaway, G.P. Names of the Respondents Hearing Site: Atianta, Georgia Morgan Stanley Smith Barney, LLC Dearing Francis Stone, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hathaway Family Holdings, LLP, David S. Hathaway, G.P., here

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05459 Morgan Stanley Smith Barney LLC (Claimant) vs. Denise G. Often (Respondent) REPRESENTATION OF PARTIES: For Claimant Morgan Stanley Smith Barney LLC, Mauricio S. Beugelmans, Esq., Hand Baldachin Amburgey LLP, New York, NY. Respondent Denise G. Often did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: December 3, 2010 CASE SUMMARY: Claimant asserted the fo

AWARD Award Data Award: $25,000.00 Punitive: $0.00 Pre-judgment Interest: $0.00 Post-judgment Interest: at the rate of six percent (6%) per annum from the date of issuance of the Award until the date of payment of the Award Attorneys' Fees: $0.00 Costs: $425.00 Denied Denied Denied Denied AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follo

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Andrew G. Gay, Sr. (Claimant) vs. Bestvest Investments, Ltd. (Respondent) Case Number: 10-00859 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Andrew G. Gay, Sr., hereinafter referred to as "Claimant": W. Scott Greco, Esq., Greco & Greco, P.C. McLean. VA. Respondent Bestvest Investments. Ltd., hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas J. Beach and Margaret A. Beach (Claimants) vs. Banc of America Investment Services, Inc. (Respondent) Case Number: 09-06108 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Douglas J. Beach ("D. Beach") and Margaret A. Beach ("M. Beach"), hereinafter collectively referred to as "Claimant": Howard M. Rosen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William T. Copperill (Claimant) vs. Andrew J. Shapiro, Mitchell H. Sloane, and Westrock Advisors, Inc. (Respondents) Case Number: 09-07046 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant William T. Copperill, hereinafter referred to as "Claimant": Robert J. Boiler, Esq., Akin Gump Strauss Haue

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Behveen: Joseph Neira (Claimant) vs. Bristol Financial Sen/ices, Inc., Michael Hartzman, Northeast Securities, Inc., Bear Stearns Securities Corp., Randi Mason, and J.P. Morgan Clearing Corp. (Respondents) Case Number: 09-00795 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Joseph Neira, hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04269 Lionel Leitner, as trustee of the Lionel Leitner Revocable Trust account and the Lionel/Chariotte Leitner Family Trust accounts Chariotte Leitner, as trustee of the Chariotte Leitner Revocable Trust account and the Lionel/Charlotte Leitner Family Trust accounts and the Chariotte Leitner IRA Name of the Respondent Hearing S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02965 Julia J. Welier, Trustee, Florence E. Jordan Trust FBO George E. Jordan Jr. Names of the Respondents Hearing Site: Birmingham, AL Citigroup Global Markets, Inc. Gregory B. Alford Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Julia J. Weller, Trustee, Florence E. Jordan Trust

Award FiNIRA Dispute Resoiution In the Matter of the Arisitration Between: Dennis P. Gravelle (Claimant) vs. James Andrew Cummings (Respondent) Case Number: 09-05971 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Dennis P. Gravelle, hereinafter referred to as "Claimant": Booker T. Washington, Esq., UAW Legal Services Plans, Lockport, NY. Respondent James Andrew Cummings, herei