Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04040 SunTrust Investment Services, inc. Name of the Respondent Hearing Site: Washington. D.C. Michael J. DePin'i Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTnjst investment Services, inc. ("SunTmst"), hereinafter referred to as "Claimant": Timothy J. McEvoy. Esq., Odin Feldman Pittleman. P.C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-03946 Wiliiam Edgar Helms, III Names of the Respondents Hearino Site: Columbia, South Carolina Wachovia Securities, LLC James Preston Covington, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Edgar Helms, III, hereinafter referred to as "Claimant": Teresa Davis Buiford. E

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent City Securities Corporation vs. Names of Respondents/Counter-Claimants Ameriprise FInanciai Services, Inc. and Brian Osner Case Number 09-00965 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Member vs. Member and Associated Person REPRESENTATION OF PARTIES City Securities Corporation ("Claimant") was represented by J

stipulated Award FINRA Dispute Resolution In the Matter of ttie Arisitration Between: Name of the Claimant Case Number: 08-04493 Professional Properties Management Inc. Names of the Respondents Hearing Site: Boca Raton, Florida SunTrust Investment Sen/ices, Inc. Linda Greener Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Professional Properties Management Inc., hereinafter referred to as "Ciai

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Janney Montgomery Scott, LLC Name of the Respondent Craig Alan Plerson Case Number 09-01663 Hearino Site: Ft. Lauderdale, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Carrie L. Chell(o, Esq., Janney Montgomery Scott, LLC, Phil

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-04613 Clifford N. Wade and Margarita D. Wade Name of the Respondent Hearino Site: Birmingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Clifford N. Wade and Margarita D. Wade, hereinafter collectively refen^d to as "Claimants": James A. Dunlap, Jr., Esq., Jame

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Herold Family Living Trust, Cletus Herold, Trustee vs. Case Number: 08-04772 Hearing Site: Des Moines, Iowa Name of Restx)ndent E*Trade Securities LLC Customer vs. Member mON OF PARTIES Herold Family Living Tmst ("Claimant") was represented by Cletus M. Herold, Trustee. E*Trade Securities LLC ("Respondent") was represented by John Bersin, Esq., E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00270 Jack Olln Robeson Contributory IRA Name of the Respondent Hearing Site: Memphis, Tennessee Charles Schwab & Co.. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jacic Olin Robeson Contributory IRA, hereinafter referred to as "Claimant": James A. Dunlap, Jr., Esq., James A. Dunlap & Associates, LLC,

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04333 Robert W. Baird & Co.. Inc. Names of the Respondents Hearing Site: Fort Lauderdale, Florida Robert S. Gesdorf Bradford K. Marshall Thomas M. Palmer Shelagh M. Stewart Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Robert W. Baird & Co.. Inc., hereinafter referred to as "Claiman

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02658 Ralph H. Ritter and Viola M. Ritter (Claimants) vs. Anita Opiotrik and Neil McCall (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se., Nixa. MO. For Respondents appeared Harper Fertig, Esq.. Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customers v. Associated Persons DATE FILED: May 7. 2009 CASE SUMMARY: Claimant asserted the following causes of action: failure to sup