Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 08-01135 Jason Coulter Respondent Hearing Site: Dallas. Texas Morgan Stanley & Co.. Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Jason Coulter hereinafter referred to as "Claimant": Jason Coulter. In Pro Se. Lubbock, Texas. Respondent Morgan Stanley & Co. Incorporated hereinafter referred to as

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number 07-02234 Alan Greenwood Respondents Hearing Site: Dallas, Texas Michael S. Wittenberg Adam Maggio J.P Turner & Company, L.L.C. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Alan Greenwood: Martin P. Unger, Esq., Certllman Balin Adler& Hyman, LLP, East Meadow, New Yori( Respon

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE; 08-02807 First Midwest Securities, Inc., ("Claimant") vs. Daniel Benjamin Vazquez, Sr., ("Respondent") ATTORNEYS: For Claimant appeared in-house Renee Emick, Esq., Bloomington, IL. Respondent appeared pro se, Ladera Ranch, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 8, 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to r

Award FINRA Dispute Resolution In the l\^atter of the Arbitration Between: l\iaxim Group LLC (Claimant) vs. Sidney J. Oliphant (Respondent) Case Number: 08-01732 IHearing Site: New Yorl^, New Yorl< Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant l\^axim Group LLC, hereinafter referred to as "Claimant": Edward L. Rose, Esq. and Christopher G. Massey, Esq., Maxim Group LLC, New Yori< . NY. Respondent Sidney J. Ol

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Avalon Partners, Inc. (Claimant) vs. Charles Bradford Banks (Respondent) Case Number: 08-02661 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Avalon Partners, Inc., hereinafter referred to as "Claimant": Jonathan Kurtz, Esq., Sichenzia Ross Friedman Ference LLP. New York, NY. Respondent Charles Bradford B

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00198 Oppenhelmer&Co., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Marshall O. Isaacson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co.. Inc, hereinafter referred to as "Claimant": Cory S. Zadanosky, Esq.. Zadanosky & Associates. P.A., Lake Worth. Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00661 Kraemer L. Diel Name of the Respondent Hearina Srte: New Orleans, Louisiana Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTiES For Kraemer L. Diel, hereinafter referred to as "Claimant": Mark E. Maddox, Esq., Maddox, Hargett & Caruso. P.C. Fishers, Indiana. For Morgan Keegan & Co

Award FiNRA DIsputa Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03292 Wachovia Securities, LLC Name of the Respondent Hearina Site: Boca Raton. Florida Robert A. Peck Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTiES For Wachovia Securities, LLC, hereinafter refened to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent Robert A. P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-01312 Banc of America Investment Services, Inc. Name of the Respondent: Hearina Site: Los Angeles, Califomia Jeremiah L. Smith Nature of the Dispute: Memt)er vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/lces, Inc., hereinafter refened to as "Claimant": D. Daxton White, Esq.. Kane & Fischer, Ltd.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William P. Badger (Claimant) vs. BB&T Capital Mari^ets, Scott & Stringfellow. Inc., and BB&T Corporation (Respondents) Case Number: 07-03321 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant William P. Barber hereinafter referred to as "Claimant": Fred Van Remortel, Esq., the Law O