Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiaimant Case Number: 08-02871 Morgan Stanley & Co.. Inc. Name of the Respondent Hearing Site: Washinoton. D.C. John Andrews Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Inc. ("Morgan Stanley"), hereinafter referred to as "Claimant": Alan S. Brodherson, Esq.. Law OfTices of Alan S. Brodherson, New Yor1<

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01271 Gilbert S. Meem, Jr. and Knight Patterson Meem ("Claimants") vs. Wachovia Securities, LLC ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Howard Meyers, Esq., New Yori( Law School Legal Services, IncNewYori^, NY. For Respondent appeared Beverly Jo Slaughter. Esq., Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customers v. Member DATE FILED: March 9, 2009 CASE SUMMARY

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00561 Barbara Ann Tutt ("Claimant") vs. Fidelity Brokerage Services. LLC ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared David M. Tutt, Frisco, TX. For Respondent appeared Diane M. Brown. Esq.. Fidelity Brokerage Services LLC. Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 31, 2009 CASE SUMMARY: Claimant alleged that Respondent unsuitably placed her money in aggressive

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00505 America's Choice Equities, LLC ("Claimant") vs. Christopher Caiandrino ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, Streetwide Asset Recovery Group, Inc.. Lyndhurst. NJ. Respondent appeared pro se. Lake Ronkonl< oma, NY. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 30, 2009 CASE SUMMARY: Claimant alleged that Respondent has failed to repay a balance owed pu

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04906 Fidelity Brokerage Services, LLC ("Claimant") vs. David Griswold ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C.. Quincy. MA. Respondent David Griswold did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: December 22,2008 CASE SUMMARY: Claimant alleged that Respondent is li

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04802 Jean Francis Schirard on behalf of the Jean Francis Schirard Charles Schwab and Co., Inc., CUST IRA Contributory, and Jean Francis Schirard, Joseph P. Schirard, and Lisa Buchanan as joint tenants ("Claimants") vs. Charles Schwab and Co., inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Mamie C. Lambert, Esq., David P. Meyer and Associates Co., LPA, Columbus, OH. For Respondent appeared Ev

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Ameriprise Advisor Services, Inc. V\Ua H&R Block Financial Advisors, Inc. vs. Name of ResDondent/Counter-Ciaimant Kevin Leet Case Number: 08-02129 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Advisor Services, Inc. f/k/a H&R Block Financial

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimant Case Number: 08-00454 Jina Jeong ResDondente Hearing Site: Los Angeles, Cailtomia Poidential Financial. LLC Pruco Securities. LLC Jung U. Pari( Nature of the Dispute: Associated Person vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Claimant Jina Jeong hereinafter referred to as "Claimant": Jina Jeong. In Pro Se. Little Rock,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02897 Inna T. Agee, individually and as Owner and Beneficiary of the Irma T. Agee IRA Respondents Hearina Site: San Diego, Califomia Wedbush Morgan Securities, Inc. Beverley M. Hylton Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Inna T. Agee, individually and as Owner and Beneficiary of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00533 William H. Corcoran Name of the Resoondent Hearing Site: Boca Raton, Florida Prestige Financial Center, Inc. Nature of the Dispute: Customer vs. Memk)er. REPRESENTATION OF PARTIES For William H. Corcoran, hereinafter referred to as "Claimant": Richard A. Stephens, Esq., Law Office of Richard Stephens, Boca Raton, Florida. Fo