Award FiNFiA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 09-05255 Raymond B. Cole Respondents Hearing Site: Phoenix, Arizona Morgan Stanley & Co., Incorporated Douglas Benson Cochran Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Raymond B. Cole, hereinafter referred to as "Claimant": William J. Gladden, Esq., Savannah, Georgia. Respondents, Morgan Stanley & Co., In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-04441 Debra White Respondents Hearing Site: Denver, Colorado CapWest Securities, Inc. Capstone Financial Group, Inc. Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant, Debra White, hereinafter refenred to as "Claimant": Kevin C. Flesch, Esq., The Law Office of Kevin C. Flesch, LLC, Englewood

^.^y Award FtNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06198 Carol West Respondents Hearing Site: San Francisco, California iVIartin Aivah Gates Omni Brolcerage, Inc. Western America Brokerage LLC Nature of Dispute: Customer vs. IViembers and Associated Person REPRESENTATION OF PARTIES Claimant, Carol West, hereinafter referred to as "Claimant": Carol West, Berkeley, California.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Seymour L. Goldman, as assignee.of HSBC Bank, USA, N.A., Executor of the Estate of Emy Mostert (Claimant) v. Wachovia Bank, N.A., and Wachovia Securities, LLC (Respondents) v. HSBC Securities (USA) Inc. (Third Party Respondent) Case Number: 09-02435 Hearing Site: New York, New York Nature of the Dispute: Initial claim: Customer vs. Member and Non-Member. Third Party claim: Membe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John J. Hanson and John J. Hanson, IRA (Claimants) vs. Morgan Stanley & Co., Incorporated and Vikas Mohindra (Respondents) Case Number: 09-05015 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants John J. Hanson ("Hanson") and John J. Hanson, IRA ("Hanson IRA"), hereinafter collectively referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (Claimant) v. Frank J. Fava (Respondent) Case Number: 08-00043 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. hereinafter referred to as "Claimant": David Schmidt, Esq., Lubiner & Schmidt, L.L.C., Cranford, NJ. Respondent Frank J. Fava hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06846 Jeffrey Paul McMorrow, Esq. Names of the Respondents Hearing Site: Columbia, South Carolina Banc of America Investment Services, Inc. Ryan Paul Tidwell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jeffrey Paul McMorrow, Esq., hereinafter referred to as "Claimant," appeared pro se.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Clainnants Case Number: 09-04354 Jane D. Nave, Individually, and as Trustee for the Jane Nave Revocable Living Trust and William M. Nave, Individually, and as Trustee for the William Nave Revocable Living Trust Name of the Respondent Hearing Site: Tampa, Florida Suntrust Investment Services, Inc. (CRD #17499) Nature of the Dispute: Customer vs. Membe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Morris Durham, Individually and as Trustee of the Durham Family Trust of Scottsdale, AZ Christopher Durham. Individually and as Trustee of the Durham Family Trust dated 10/30/96 Respondents Lawson Financial Corporation Robert Warren Lawson Glenn Alan Foerster Pamela Denise Lawson Case Number: 09-05797 Hearing Site: Phoenix, Arizona Nature of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02014 Sean E. Greene Respondents Hearing Site: Los Angeles, California United Capital Markets, Inc. Dennis John Devaney United Capital Asset Management, LLC Nature of the Dispute: Customer vs. Member. Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimant, Sean E. Greene, hereinafter refen^ed to as "Claimant": Steven D. Toskes,