Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02937 Ertel Revocable Trust, Joseph and Jean Ertel. TTEE Names of the Respondents Hearing Site: Tampa, Florida Brool< stone Securities, Inc. Tony Turbeville Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ertel Revocable Trust, Joseph and Jean Ertel, TTEE, hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03597 Penson Financial Sen/ices, Inc. Name of the Respondent Hearing Site: Baltimore, Maryland Aaron Holland Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Penson Financial Services, Inc., hereinafter referred to as "Claimant": Jeff Logan, Vice President, Deputy General Counsel, Penson Worldwide, Inc., Dalla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01294 Joseph Wayne Smith and Carol S. Smith Name of the Resoondent Hearing Site: New Orieans, Louisiana Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Joseph Wayne Smith and Carol C. Smith, hereinafter collectively referred to as "Claimants: Andrew Stoitmann, Esq., S

Award FiNRA Dispute Resolution In the Matter of the Arisitration Between: Name of tiie Claimant Case Number: 08-03063 Summit Broicerage Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Neal Smalbach Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Summit Brokerage Services, Inc.. hereinafter referred to as "Claimant": Michael Hill, Esq. and Gary Menzer, Esq., Boca Raton, Florida. Fo

Award FINRA Dtepute Resolution In the Matter of the Arbitration Between: Claimante Case Number 08-01288 William P. Hanwell. Tmstee of the William P. Hanvell Family Tmst WP Harwell and BH Harwell. Co-Tmstees of the Hanvell Family Tmst Respondente Hearing Site: San Diego, Califomia Morgan Keegan & Company, inc. Nature of the Dispute: Customere vs. Memk)er REPRESENTATION OF PARTIES Claimante. William P. Hanvell, Tmstee of the William P.

Award FINRA Dispute Resolution In the Matter of the Arisitratton Between: Claimant Case Number 08-03841 Shannon L. Nichols, Trustee of the Shannon L. Nichols Trust Respondente Hearing Site: Salt Lake City, Uteh Menill Lynch, Pierce, Fenner& Smith Incorporated Citigroup Global Maricete, Inc. Nature of the Dispute: Customer vs. Membere Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant Shannon L. Nichols

Award FINRA Dlsputo Resolution in the Matter of the Arbitration Between: Name of tt^ Claimante Case Number. 08-04600 Susan M. Regan Susan M. Regan Trust Name of ttie Respondente Hearing Site: Denver, Colorado Multi-Financial Securities Corporation Scott Patricia Kozak Nature of the Dispute: Customere vs. Memt>er and Associated Pereon REPRESENTATION OF PARTIES Claimante. Susan M. Regan ("S. Regan") and Susan M. Regan Trust (Ihe Trusf^

Award FINRA Dtopute RssohJtton In the Matter of the Aibttratton Between: Ctalmant Case Number 08-03444 Edward D. Jones & Co., L.P. ResDondente Hearing Site: Seattto, Washington Morgan Stenley & Co.. Incorporated Bruce B. Trang Nature of the Dispute: Member vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Edward D. Jones & Co.. L.P. hereinafter referred to as "Edward Jones or Claimant": Christopher A. Pickett, Esq., Gokl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-04981 Cario A. Carrion ResDonder^ts Hearing Site: Los Armies, Califbmia Western international Securities, Inc. Donald Michael Bizub Jon Noel Hogen Craig Robert Watanabe Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Cario A. Canion, hereinafter referred to as "Claimant": Cario

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Elva Vasquez vs. Case Number: 08-04508 Hearing Site: Houston, Texas Names of Respondents Chase Investment Services Corp., Jonathan Mark Cromwell, and Thomas Lyonel Davila, II NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Elva Vasquez ("Claimanr) was represented by Randall A. Pulman, Esq., Pulman,