AWARD FINRA DISPUTE RESOLUTION CASE: 10-02040 Wells Fargo Advisors, LLC (Claimant) vs. Cheryl Cox (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Signal Mountain, TN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 30, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Clai

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smith Barney, LLC vs. Case Number: 10-02212 Hearing Site: Louisville, Kentucky Name of Respondent Christian E. Erickson NATMR5QFTH6PigPVTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney, LLC ("Claimant" or "MSSB") was represented by Lauren R. Fox, Esq., Alonso, Andalkar & Kahn, PC, New York, New

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02545 Michael L. Landreth (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared Avital Stadler, Esq., Sutherland Asbill & Brennan LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 27, 2010 CASE SUMMARY.- Claimant asserted the follow

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05075 Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida James Grant Morse, IV Nature of the Dispute: Member vs. Associated Person. REPRESENTATIOi^ OF PARTIES For Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Ross Carmel, Esq., Alonso, Adalkar & Kahn, P.C, New York, New Yor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anthony E. Cronin, Matthew J. Hand, and Dusan Nogulovic (Claimants) vs. Dresdner Kleinwort Securities LLC (Respondent) Case Number: 09-04668 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Anthony E. Cronin ("Cronin"), Matthew J. Hand ("Hand"), and Dusan Nogulovic ("Nogulovic"), hereinafter collectively r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles R. LaBay and Patricia L. LaBay (Claimants) vs. Paul A. Ligor, Jr. and Integrity Brokerage Services, Inc. (Respondents) Case Number: 09-06801 Hearing Site: Augusta, Maine Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Charles R. LaBay ("C. LaBay") and Patricia L. LaBay ("P. LaBay"), hereinafter collectively referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-06478 Gilbert Rosenthal and Lora A. Rosenthal Names of the Respondents Hearing Site: Washington. DC E*Trade Securities, LLC Erik Beachley Peter Wight Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gilbert Rosenthal and Lora A. Rosenthal, jointly, and Gilbert Rosenthal, individuall

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants ' Case Number: 09-03797 Hermon E. Smith Rosemary Smith Name of the Respondent Hearing Site: Raleigh, North Carolina Genworth Financial Securities Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Hermon E. Smith ("H. Smith") and Rosemary Smith ("R. Smith"), hereinafter collectively referred to as "Claimants": Andrew 0. W

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07259 Janney Montgomery Scott, LLC Name of the Respondent Hearing Site: Atlanta. Georgia Daniel A. Petit Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Michael D. Jones, Esq., Reed Smith, LLP, Philadelphia, PA. Daniel A. Petit,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03285 Joseph E. Mercer Name of the Respondent Hearing Site: Oriando, Florida Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joseph E. Mercer, hereinafter referred to as "Claimant": Peter Mougey, Esq. and Kristlan P. Kraszewski, Esq., Levin, Papantonio, Thomas, Mitchell, Echsner