Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Name of the Claimant Case Number: 09-05210 Patricia M. Schluter, Individually Names of the Respondents Hearing Site: Boca Raton, Florida Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Carlos Gonzalez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia M. Schluter, Individually, hereinafter referred to as

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-02912 Wachovia Securities, LLC Name of Respondent Hearing Site: Los Angeles, California Darren B. Meehan Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Timothy N. Will. Esq., Albert & Will, LLP, Torrance, California. Resp

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-03678 Morgan Stanley & Co., incorporated (fonnerly Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Seattle, Washington John Gregory Fenton Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co., Incorporated (formerly Morgan Stanley DW Inc.), hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03266 Edward W. Karrels Name of the Respondent Hearing Site: Nashville, TN Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edward W. Karrels, hereinafter referred to as "Claimant": H. Naill Falls, Jr., Esq., Falls & Veach, Nashville, TN. For Morgan Keegan & Co., Inc. ("Morgan Kee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04417 Samantha Sampson, individually and as trustee and beneficiary of the Samantha Arlene Sampson Revocable Living Trust Name of the Respondent Hearing Site: Miami, Florida The GMS Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Samantha Sampson, individually and as trustee and beneficiary o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-03821 Angela C. Kamahi Isaac Kamahi Respondents Hearing Site: San Diego, California Banc of America Investment Services, Inc. Matthew Beard Lord Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Angela C. Kamahi and Isaac Kamahi, hereinafter collectively referred to as "Claimants": G. Mark

Stipulated Award FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06168 Wells Fargo Advisors, LLC (f/k/a Wachovia Securities, LLC) Name of the Respondent Hearing Site: San Francisco, California Peter Bell 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 "Claim

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jean E. i-iughes vs. Case Number: 07-01043 Hearing Site: IHouston, Texas Name of Respondent Cantor Fitzgerald & Co. NATURE QF THE PI§P»TE Associated Person vs. Member REPRESENTATION OF PARTIES Jean E. Hughes ("Claimant" or "Hughes") was represented by Hal K. Gillespie, Esq. and Joseph Gillespie, Esq., Gillespie, Rozen, Watsky & Jones, PC, Dallas,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Louis E. Liies vs. Name of Respondent Morgan Keegan & Company, inc. Case Number: 09-04638 i-iearing Site: IHouston, Texas NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Louis E. Liles ("Claimant") was represented by James A. Dunlap, Jr., Esq., James A. Dunlap, Jr. & Associates, LLC, Atlanta, Georgia. Morgan Keegan & Compa

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Lerner Associates. Inc. (Claimant) v. David Asulin (Respondent) Case Number: 10-04194 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant David Lerner Associates, Inc., hereinafter referred to as "Claimant": Michael G. Shannon, Esq., Thompson Hine LLP, New York, NY. Respondent David Asulin, her