Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05230 James P. Beaty, Trustee of the Beaty Revocable Survivor's Trust U/l/DJune5,1990 Respondent Hearino Site: San Francisco, California Morgan Stanley & Co., Incorporated Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, James P. Beaty, Trustee of the Beaty Revocable Sun^ivor's Trust, hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nomian Robert Malo (Claimant) v. Edward Asch. Maribeth Asch, Gerard Axel, Benito Axel, Daniel F. Balko, Peter Beriin, Ethel Zebitz. Judy Beriin, Thomas J. Black. Bmce D. Brauner, Sylvia Brauner. Holly Colangelo, Louis D'Lando. Adele D'Lando, Melvin Felker, Marie Felker, Paulette Haim, Denise Marino. Steven Lipschutz, Helene Lipschutz, Joseph Messina, Saivatore Messina. Katherine Messina. He

Award HNRA DIaputo Resolutton In the Matter of the Art>itratton Between: Claknant C-mf^mh?r 09-05650 Martha C. Campbell, personally and on behalf of the Martha C. Campbell Roltover IRA Respondente: Hearing Site: San Dtogo, CalHbmn KevtoA.WHIiams North Global Securittes, Inc. North WMth Management Company Asset Management Strategies, LLC Steven Lee Thornton Daniel Gullten Natore of the Dispute: Customer vs. Member, Assodated Persons an

Award HNRA DIsputo Rssdutton In ttis Matter of the AriMtrafion Between: Claimant Cage Number 09-04698 William Huhn Living Tmst ResDondent Hearing Site: Los Angeles, Cslifomis E^rade Securities, LLC Nature of the Dispute: Customer vs. Meml)er gFPARTlH Claknant, Wliiam Huhn Living Tnist, herslnsfler refened to ss 'ClaknanT: Pro Se, Las Vegas, Nevada Respondent ETrsde Securittes, LLC. hereinafter referred to ss "RespondenT: John BerBki.

Award FINRA Dispute Resolutkni In the Matter of ttie ArfoKration Between: Namft off the Claimant CaW Nwn&On 09-01333 George R. Grant Mama of Sift Reftpondanta HaarinaSHe: San Frandsoo, CatHbrnia Sagepoint Financial, Inc. Dave Steven Samuels MKhaelSims Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, George R. Grant, herekiafter refened to as 'Clalinanr: George R. Grant Su

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant Case Number: 09-05025 Rite Brown l^ames of the Resoondente Hearing Site: Orlando, Ftorida Banc of America Investment Services, Inc., a Florida corporation, and Scott Krause, an individual Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rite Brown, hereinafter referred to as "Claimanf: David H. Simm

r ' Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-02018 Donna Appleby Names of the Respondente Hearino Site: Boca Raton, Ftorida Wachovia Securities, Inc. Bruce-A^Pomerantz- Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donna Appleby, hereinafter refened to as "Claimant": Bradford M. Gucciardo. Esq. and Chartes S

Award FINRA Dispute Resolution In the Matter of the Arisitratlon Between: Names of the Ciaimante Case Number. 08-02926 Aaran Everett Waldman Patricia Waldman Ward Waldman Real Estete Services. LLC Name of the Respondent Hearing Site: Boca Raton. Florida Salomon Smith Bamey inc. N/K/A Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Aaron Everett Waldman, Patricia Waldman and Ward Wa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05666 Morgan Stanley Smith Bamey LLC (fomieriy Morgan Stenley & Co., inc.) Name of the Respondent Hearing Site: Oriando, Florida David W. Moody Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stenley Smith Bamey LLC (formeriy Morgan Stenley & Co., Inc.). hereinafter referred to as "Claiman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Ciaimante Case Number 09-04240 Robert Wayne Lewis TTEE, Robert Wayne Lewis Revocable Trust Robert Wayne Lewis iRA Rollover Rok)ert Wayne Lewis IRA Robert Wayno Lewis-ROTH IRA- B Lewis & R Lewis TTEE, Bart>ara Murphy Lewis Trust John Benjamin Lewis & Robert Wayne Lewis JT TEN Ridgecrsst Groves, Inc. Lewis & Associates, Inc. Names of the Resoondente