Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06754 James Richard Populorum Names of the Respondents Hearing Site: Raleigh, North Carolina The Tidal Group Janice Hallett Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES James Richard Populorum, hereinafter referred to as "Claimant," appeared pro se. For The Tidal Group ("Tidal") and J

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02589 Frank L. Flautt, Jr., Revocable Trust Agreement dtd 12/5/02 Frank L. Flautt TTEE Frank L. Flautt, Jr. Rollover IRA Flautt Family Foundation Brenda C. Flautt Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01807 Bruce B. Raynor (Claimant) vs. Samuel Wright Starling II (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Greensboro, NC. For Respondent appeared Chan Nam, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer vs. Associated Person ~ ~ DATE FILED: April 13, 2010 CASE SUMMARY: Claimant asserted the following causes of action: unsuitabiiity and failure to act

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: J.P. Turner & Company, L.L.C. (Claimant) v. Mitchell Sloane (Respondent) Case Number: 09-03551 Hearing Site: New Yorl< , New Yorl< Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant J.P. Turner & Company, L.L.C, hereinafter referred to as "Claimant": Eric J. Dec, Esq., J.P. Turner & Company, L.L.C, Atianta, GA. Respondent Mitchell Sloane herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kevin Holloway and Shyamala Holloway (Claimants) vs. Kenneth Thom and Kevin Burr (Respondents) Case Number: 09-02623 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons REPRESENTATION OF PARTIES Claimants Kevin Holloway ("K. Holloway") and Shyamala Holloway ("8. Holloway"), hereinafter collectively referred to as "Claimants": Kevin Holloway,

Award FINRA Dispute Resolution In the Matter of the Art3itration Between: Claimant Bruce M. Firestone Respondents The Charies Schwab Corporation Charles Schwab & Co., Inc. Schwab Investments. Inc. Charles R. Schwab Evelyn Sanciangco Dilsaver Randall W. Merk George Manuel Pereira Mariann Byenvalter Donald F. Doward William A. Hasler Robert G. Holmes Gerald B. Smith Donald R. Stephens Michael W. Wilsey Kimon Pete

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06394 David Eari, individually and as personal representative of the Estate of Sophie H. Bebb Respondents Hearina Site: Denver, Colorado Morgan Stanley & Co., Incorporated Nancy Pizarro Mercado Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, David Eari ("Eari"), individually, and David E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05070 Joanne Bohnke Respondents Hearing Site: Tucson, Arizona Smith Barney, Inc. a/k/a Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant Joanne Bohnke, hereinafter referred to as "Claimant": David Valicenti, Esq., Cohen Kinne Valicenti & Cook LLP,

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 09-02059 William Quiros Respondents Hearing Site: Los Angeles, California Merrill Lynch, Pierce, Fenner & Smith Incorporated Steven Jay Port Kevin James Caputo Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, William Quiros, hereinafter refen-ed to as "Claimant": David Gumick. Esq., Lewit

Award FINRA Dispute Resolution In the Matter of the Art>itFation Between: Claimant Case Number 09-00630 Wendy Austin Rea Respondent Hearino Site: Los Anoeies. Califomia Wedbush Securities Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Wendy Austin Rea, hereinafter refen^ed to as "Ciaimanf: Patricio T.D. Banrera, Esq., Barrera & Associates, Manhattan Beach, Califomia; and H Thomas Fehn, Esq., F