Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Donald L. Burnham, Jr. and Kelly A. Bumham (Claimants) vs. Morgan Keegan and Company, Inc. (Respondent) Case Number: 08-00893 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Donald L. Burnham, Jr. ("D. Bumham") and Kelly A. Bumham ("K. Burnham"), hereinafter collectively referred to as "Claimants": Timothy J. O'Con

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Frank T. Kim (Respondent) Case Number: 08-02145 Hearing Site: Buffalo, New Yoric Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fisher, Esq., Ronald P. Kane, Esq., and D. Daxton White, E

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04452 Wells Fargo investments, LLC, ("Claimant") vs. Christopher M. Hince, ("Respondent") ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, iL. Respondent Christopher M. Hince did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 25. 2008 CASE SUMMARY: Claimant alleged that Responde

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03794 Lila Kliegman, as Trustee Lila Kliegman Rev. Trust, ("Claimant") vs. Morgan Stanley & Co., Inc., ("Respondent") ATTORNEYS: For Claimant appeared Jeffrey B. Kaplan, Esq., Diamond, Kaplan & Rothstein, P.A.. Miami, FL. For Respondent appeared Brian C. Hale, Esq.. In-house Counsel, Tampa, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 16, 2008 CASE SUMMARY: Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley & Co., Inc. (Claimant) vs. Michelle Feeley (Respondent) Case Number: 08-03225 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Inc., hereinafter referred to as "Claimant": Alan S. Brodherson, Esq.. Law Office of Alan Brodherson. New York, NY. Respondent Michelle Feeley h

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04910 Deborah C. Walsh. ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared Pro se, Jamestown, NC. For Respondent appeared James J. Vihstadt. Esq., In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 22, 2008 CASE SUMMARY: Claimant alleged that Respondent breached their Client Agreement when it failed to attempt to n

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ralph E. Plechner (Claimant) vs. Wachovia Securities. LLC and Mr. Jacl( Greenwald (Respondents) Case Number: 08-03057 Hearina Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Ralph E. Plechner hereinafter referred to as "Claimant" appeared pro se. Respondent Wachovia Securities, LLC ("Wachovia")

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04174 Alice Talisse and Richard Talisse, ("Claimants") vs. Morgan Keegan & Company, Inc., ("Respondent") ATTORNEYS: For Claimants appeared James A. Dunlap, Jr., Esq., James A. Dunlap & Associates LLC, Atlanta, GA. For Respondent appeared G. Wayne Hillis, Jr., Esq., Part< er, Hudson, Reiner & Dobbs LLP. Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 11. 2

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03633 Dio Javier, ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared Pro se, Palmdale, CA. For Respondent appeared James J. Vihstadt, Esq., In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 6. 2008 CASE SUMMARY: Claimant alleged that he sustained significant losses due to the reckless actions of the Respondent rega

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Raymond James Financial Services, Inc. (Claimant) vs. Mark Healey (Respondent) Case Number: 06-05128 SITUS: New Yori^. New York. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Raymond James Financial Services hereinafter referred to as "Claimant": Kelli Bullington, Esq., Raymond James Financial Services, Inc., St. Petersburg, FL. Mark Healey here