AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co., Incorporated vs. Case Number: 08-04115 Hearing Site: Chicago. Illinois Name of Respondent Gary T. Shorter Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant" or "Morgan Stanley") was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq., and David H. Smith, Esq., Kane & Fi

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 07-02439 iy4organ Stanley & Co.. Incorporated Name of the Respondent: Hearing Site: Houston. Texas Randal W. Spears Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Incorporated hereinafter referred to as "Morgan Stanley": Thonnas A. Volz, Esq.. Kane & Fischer. Ltd., Chi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01074 Patty Mattson ResDondents Hearing Site: Los Angeles, California Lawrence ira Goldstein Ronald Lee Gershon Oppenheimer & Co. Inc. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Patty Mattson hereinafter referred to as "Claimant": Steve Buchwalter, Esq.. Steve A. Buchwalter, P.C, Enci

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02068 Charles Schwab & Co., Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Banc of America Investment Sen/ices, Inc. Javier Aviles Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATIOli OF PARTIES For Charles Schwab & Co.. Inc., hereinafter referred to as "Claimant^: Susan M. Guerette, Est\.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03570 Jerome Woods. Jr. & Dana Woods Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES For Jerome Woods, Jr. & Dana Woods, hereinafter referred to as "Claimants": H. Naill Falls. Esq., Falls & Veach, Nashville, TN. For Morgan K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 07-03521 Elisa M. Corbo Frank C. Cortx) and Elisa M. CoriDo Tmst Elisa M. Corbo UTMA FL, Custodian Franl( C. Corix) Name of the Respondent Hearino Site: Tampa, Florida Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member. RgPRgSEWTATIOM OF PARTIES For Elisa M. Corbo, Franl( C. Cortx) and Elisa M. Corix) Trust,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02347 David L. Fairbaim & Leslie T. Fairbaim Names of the Respondents Hearina Site: Washington. D.C. Charies Schwab & Co., Inc. Aegean Capital Group, Inc. Ike lossif Frank Barbara Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For David L. Fairisairn & Leslie T. Fairbaim, hereinafter collec

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00388 Steve Fitzgerald and GaryFitzgerald Name of the Respondent Hearina Site: San Francisco, California Morgan Keegan & Company, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Steve Rtzgerald and Gary Fitzgerald hereinafter collectively referred to as "Claimants": Andrew Stoltmann. Esq., Stottma

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01394 Sarah C. Chang Names of the Respondents Hearing Site: Washington, D.C. Tuclcer Braddock AIG Retirement Advisors, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sarah C. Chang, hereinafter refened to as "Claimant": Nehemiah C. Chang, Gaithersburg, MD. For Tucker Braddock

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01710 Franl( and Sylvia Woodhouse Name of the Respondent Hearina Site: Tampa, Florida Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Frank and Sylvia Woodhouse, hereinafter individually referred to as "FW" and "SW" and collectively referred to as "Claimants": Tucker Veach, Esq., Fall