Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03409 Sherry Seidman Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. James C. Kelsoe, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sherry Seidman, hereinafter referred to as "Claimant": Adam J. Gana. Esq.. Napoli. Bern Ripka, LLP, New York

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01377 Wachovia Securities, LLC (Claimant) vs. Hayato Tamura (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Micliael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Santa Ana, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 13, 2009 CASE SUMMARY: Claimant asserted the following cause of action: debt owed pursuant to terms of CF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03126 Jerry L. Maye and Rita H. Maye Name of the Respondent Hearing Site: Charlotte, North Carolina Legacy Financial Services, Inc. Name of the Third Party Respondent Mark David Gandossy Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Jerry L. Maye and Rita H. Maye, hereinaft

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00727 Morgan Stanley & Co., Inc. (fbnnerly Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Little Rock, AR Randy S. Koontz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Inc. (formerly Morgan Stanley DW Inc.) ("Morgan Stanley"), hereinafter refened t

Awaixl FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08- 01982 Lany W. Papasan Living Trust DTD 2/11/02, Larry W. Papasan and Dianne M. Papasan, TTEES Name of the Respondent Hearino Site: Memphis, Tennessee Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Larry W. Papasan Living Trust DTD 2/11/02, Lany W. Papasan and Dianne M.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Summit Brokerage Services, Inc. Respondent Gregory Kinkead Case Number: 09-00074 Hearino Site: Las Vegas, Nevada Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Summit Brokerage Services, Inc. hereinafter referred to as "Claimant": Gary Menzer. Esq., Summit Brokerage Sen/ices, Inc.. Boca Raton, Florida. Respo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Agile Investments, Inc. (Claimant) v. D & D Securities, Inc.. and Solaris Alternative Capital Partners, LP (Respondents) Case Number: 07-03541 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: l^ember of the PHLX vs. Members of the PHLX. REPRESENTATION OF PARTIES Claimant Agile Investments, Inc., hereinafter referred to as "Claimant": David E. Robbins, Esq.. Law Of

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Rosemarie J. Riley (Claimant) vs. Northeast Securities, Inc., and Mark Moskowitz (Respondents) Case Number: 08-00736 Hearing Site: New York, New York NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rosemarie J. Riley hereinafter referred to as "Claimant": Lauren Topeisohn, Esq., New York. NY. Respondent Northeast Securities, In

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01160 Michael G. Schirk and Susan Jane Van Gee (Claimants) vs. Charles Schwab & Co., inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Samuel T. Brannan, Esq., Page Perry, LLC, Atlanta, GA. For Respondent appeared Evelyn A. Christensen, Esq., Keesai, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: March 3, 2008 CASE SUMMARY: Claimants asserted the followin

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01915 Wachovia Securities, LLC (Claimant) vs. Wiifredo Colon (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 8, 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to repay settl