Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The David & Catherine Moussazadeh Family Foundation (Ciaimant) vs. Goldman Sachs & Co. (Respondent) Case Number: 09-00599 Hearino Site: New Yorit, New Yort< Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant The David & Catherine Moussazadeh Family Foundation hereinafter referred to as "Claimant" appeared David Moussazadeh. Respondent Goldman Sach

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Prestige Financial Center, inc., Costa Tzotzis, and Darin i-iaines (Claimants) vs. Nile Management Leasing Corp. (Respondent) Case Number: 08-04541 Hearing Site: New Yorlt. New Yori^ Nature of the Dispute: Member and Associated Persons vs. Customer. REPRESENTATION OF PARTIES Claimants Prestige Financial Center, Inc. ("Prestige"), Costa Tzotzis ("Tzotzis"), and Darin i-laines ("i

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dr. Anthony A. McPhenDn and Specialty Orthopedics, Inc. vs. Case Number: 07-02841 IHearing Site: Chicago, Illinois Names of Respondents Midland National Life Insurance Company, Sammons Securities Company, LLC, investment Planners, Inc., Jay Jensen and Duane Doroh and Name of Third-Partv Claimant Investment Planners, Inc. vs. Name of

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Betty J. Gunn vs. Case Number: 07-00768 Hearing Site: Chicago, Illinois Names of Respondents Edward D. Jones, LLP and Jonathan A. Zulauf NATURE PF THE PI8PVTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Betty J. Gunn ("Claimant" or "Gunn") was represented by Richard B. Fosher, Esq., SimmonsCooper, LLC. East

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Solaris Opportunity, LP vs. Case Number: 08-01533 (Hearing Site: Chicago, Illinois Names of Respondents Penson Financial Services. Inc. and Philip A. Pendergraft and Counter-Claimant Penson Financial Services, inc. vs. Counter-Respondent Solaris Opportunity, LP NATURE OF THE DISPUTE Customer vs. Member and Associated Person RE

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-02556 Hearing Site: Des Moines, Iowa Name of Respondent Frederick Scholer NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Renan Sugarman. Esq., Renan Sugarman, PC, Chicago, Illinois. Frederick Schole

STIPULATED AWARD FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Kenneth M. Cherrier vs. Name of Respondent Woodbury Financial Services, Inc. Case Number: 09-02516 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Kenneth M. Cherrier ("Claimanr) was represented by Tenence J. Flemming, Esq. and Christopher A. Grgurich, Esq., Lindquist &

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sandra Muns vs. Case Number: 08-03867 Hearing Site: Houston. Texas Names of Respondents Edward D. Jones, LP and Tyler William Johns NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Sandra Muns ("Claimant") appeared pro se. Edward D. Jones, LP ("EDJ") and Tyler William Johns ("Johns"), hereinafter colle

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Morgan Stanley Smith Barney, LLC f/k/a Morgan Stanley DW, Inc. vs. Name of Respondent / Counter-Claimant Mark D. Hopkins Case Number: 08-00743 Hearing Site: Kansas City, Missouri Member vs. Associated Person Morgan Stanley Smith Barney. LLC f/k/a Morgan Stanley DW, Inc. ("Claimanr or "Morgan Stanley") was represented b

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Name of the Claimant Case Number: 08-03931 Edie R. Dooley Names of the Respondents Hearing Site: Fori Lauderdale, Florida Wachovia Securities, LLC Justin J. McLaughlin Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edie R. Dooley, hereinafter referred to as "Claimant": Nelson S. Ebaugh, P.C, Houston, Texas. For Wachovia Securities, LLC