Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Official Unsecured Creditors' Committee of Bayou Group, LLC (Claimant) v. Goldman Sachs Execution & Clearing, L.P. and Spear Leeds & Kellogg, L.P. (Respondents) Case Number 08-01763 Hearino Site: New York. New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant The Official Unsecured Creditors' Committee of Bayou Group, LLC hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Scott D. Thayer (Claimant) vs. Richard A. ("Ricic") Liberty d/b/a Liberty investments and Commonwealth Financial Networi( (Respondents) Case Number: 08-04123 Hearing Site: Augusta, Maine Nature of the Dispute: Customer vs. Associated Person and Memt)er. REPRESENTATION OF PARTIES Claimant Scott D. Thayer hereinafter referred to as "Claimant": Elliott L. Epstein. Esq.. Piclcus & E

Award FINRA Dteputo RaeoMlon to ttie Matter of ttie Arbttratton Between: NamaofttiaCMnMnl Case Number 09-03055 VMS Fargo Inveottnento, UC ItomeofttieRasnondent Heflflnfl SIIP: San Francteco, CA Joseph Carto Ortega, Jr. Natore ofttie DIsputo: Member vs. Assodatad Person REPRESENTATION OF PARTIES Cteknant, Wsis Fargo Invesbnente, IXC, hersinafter raflsnred to as "X^laknantr: Jki-Ho Chung. Esq., I^ne & Ftecher, LU., Chtoago, INtoote.

Award FINRA Dteputo Reeoluflon to ttie Matter of ttie Art>ttratfon Between: Claknante Case Number Oft^ieBS Kennetti S. L Chkig AnttaN.Chkig Rawiondante HwrJnfl ?BK Honolulu, Hawaii Charies Schwab & Co., Ina Gregory Man Hong Kwan Nature of the Diapute: Cuatomers vs. Member and Assodaled Person REPRHENTAHQN OF PARTieS Claimante, Kennetti S. L Ching and Antta N. Chtog, heretoafter ooltecttvely referred to as "Claimanto': Margery S. Brons

Awsffd FINRA Dteputo RseoMon to ttie Matter of ttie Aibteatfon Betefeen: CMniMte PWttHumhr 084N)812 Aykta Mohamad itirshlni Alwarsslh RaMMndsnt ^^aarinoSae: San Francteco, CaMbinte TDAnierKrade,lna TDAmeribade, ha Aylda Mohamad Ibrahim Alwareetti Nattira of the Dispute: Customers vs. Msmber Msmbsr vs. Customsrs BEPREmitrATIONQFPARnea Ctelmants/Counter^Respondsnte, i^fida Mohamad and Ibrahim Atemeetti, hafetoetter coDec

Award FINRA Dteputo Reeolulton InttieMatteroftheArtribatton Between: Cteimant Case Number 09-00822 Banc of America Invesbnent Services, Inc. Respondent Hsarino Stte: Los Anoetes. CaBfamte Steven Michael Pompan Steven Michael Pompan CQunter-Rasnondent Banc of America Inveatment Senrioea, Inc. Natoreof ttw Dteputo: Membervs. Associated Person Associated Person vs. Member REPRESENTATION OF PAifTIES Ctelmanl/Counter-Reapondent, Ba

Award FINRA Dteputo Readution In ttie Metter of ttie Arbitratton Between: Cteimante Case Number 08-02B9B Michael A. Johnston John J. Amold IMIchaefJ.Mittman Respondent Hearing Site: Los Angeles, Califomte Citigroup Global Martcete, Ina Counter-Claimant Citigroup Global Maricete, Ina Counter-J^BBPondente Michael A. Johnston John J. Amold Michael J. Mittman Natore of the Dteputo: Assodatod Persons vs. Member Member v

Stipulatad Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 0&-03835 Morgan Stanley Smith Barney. LLC, fbnnerty Morgan Stanley DW Inc. Name of the Respondent Hearing Site: Tampa, FL Malcolm G. Taaffe Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney, LLC, fbnnerty Morgan Stanley DW Inc. ("Morgan Stanley"), hereinafter ref

Award FINRA Dieputo Reeohrtion In ttie Matter of the Art)ttration BebMeen: Claknant pase Number QMOUB Rtohard Marie Sampson Respondent Hearing Site: LJOS Anoeles. Cattfomta Capmarii Securitiee Inc. Neture of the Dtapute: Aseodated Person vs. Member REPRESEtrTAHQM QF PARTIES Ctaknant, Rtohard Marie Sampson, herekiafter refened to as "Claknant": James A. Shalvoy, Esq., Manhattan Beach, CA. Respondent Capmark Securitiee inc., herelna

Award FINRA Dieputo Reeohrtion In ttie Matter of the Ariittration Bebween: Ctaknante Case Number 0&O4335 Manrin McCray Jr. and Bartuva J. McCray as Co-Tmateea of the McCray Uvkig Tniat UA DTD 07/30/82, and on behalf of ttie Manrin McCray Jr. IRA FCC ae Custodtan, under Power of Attorney Reaoondent Hearing Stte: San Franciaco, CalMbmta Wachovn Securitiee. LLC, now known as Wells Fargo Adviaors LLC Nature of the Dispute: Customers vs. Member RE