Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01464 Delano Colston Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Delano Colston, hereinafter referred to as "Claimant": Debra B. Hayes, Esq., The Hayes Law Firm, P.C, Houston, Texas. For Morgan Keegan & Company, Inc.,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00356 Robert J. Kelly ("Claimant") vs. Cantor Fitzgerald & Co. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Hiilsboro Beach, FL. For Respondent appeared Lori Pennay, Esq., Cantor Fitzgerald & Co., New Yorit. NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: January 22.2009 CASE SUMMARY: Claimant alleged that the reason for termination on his Form U4 is inaccurate and should

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00521 Kennetii C. Armstrong ("Claimant') vs. Cliaries Sciiwab & Co., inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Fort Wortti, TX. For Respondent appeared Evelyn A. Druci^er, Esq.. Keesal. Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 28, 2009 CASE SUMMARY: Claimant alleged tliat Respondent misrepresented tlie risks of the Schwab YieldPl

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00094 Summit Broicerage Services, inc. ("Claimant") vs. Ronald Michael George ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Gary Menzer, Esq., Summit Brokerage Services, Inc., Boca Raton. FL. Respondent appeared pro se, Paridand, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 7. 2009 CASE SUMMARY: Claimant alleged breach of licensee agreement. Claimant maintain

stipulated Award FINRA Dispute Resolution In the l\1atter of the Arbitration Between: Citigroup Global Mari< ets, Inc. Wa Salomon Smith Barney, Inc. (Claimant) vs. Jeffrey T. Farrell (Respondent) Case Number: 07-02501 Hearing Site: Philadelphia, Pennsylvania consolidated with Jeffery Thomas Farrell (Claimant) vs. Citigroup Global Marl^ets, Inc., John R. Nelson, Anthony Privetera, and Deborah Phillips (Respondents) Case Number: 08-03465 Hearing Sit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Estate of Therese Bachalany Amiouny, deceased, Macha Amiouny, Suin Amiouny, Cathy Amiouny, and Sulna Development Company N.V. (Claimants) vs. Prudential Securities, Inc. (Respondent) Case Number: 05-03988 Hearing Site: New Yori^, New Yori< Nature of the Dispute: Customers vs. !\^ember REPRESENTATION OF PARTIES Claimants The Estate of Therese Bachalany Amiouny, deceased, ("Th

Award FINRA Dispute Reaolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04235 Joseph Messina Name of the Respondent Hearing Site: Boca Raton, Florida TradeStation Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Joseph Messina, hereinafter referred to as "Claimant", appeared pro se. For TradeStation Securities, Inc., hereinafter referred to as "Respondent": Steven M.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant COO Investment Services Corp. VS. Case Number. 08-01355 Hearing Site: Detroit, Michigan Name of Respondent Steriing J. Stegall NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES ceo Investment Services Corp. ("Claimant" or "CCO") was represented by Christine R. Fitzgerald, Esq. and David M. Belcher, Esq., Belcher, Stan-

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of the Claimants Case Number: 08-01565 Michael Greco Salvatore Greco Santo Greco Cusano's Italian Balcery, Inc. Name of the Respondents Hearing Site: Boca Raton, Florida Empire Financial Group, Inc. Gregory S. Roper Investors Capital Corp. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Michael Gre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00180 Canale Funeral Directors, Inc. Name of the Respondent Hearing Site: l\4emphls, Tennessee IVJorgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Canale Funeral Directors, Inc., hereinafter referred to as "Claimant": Tucker Veach, Esq., Falls & Veach, Nashville, TN. For Morgan