Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nannes of the Claimants Case Number. 08-00117 Daniel J. Day Living Trust U/A/D 10/10/99 Daniel J. Day and Diane D. Arnold Co TTEES Diane D. Arnold Living Trust U/A/D 10/19/99 Daniel J. Day and Diane D. Arnold Co TTEES Name of the Respondent Hearino Site: Oriando, FL Wachovia Securities, LLC, F/K/A First Union Securities, Inc. Nature of the Dispute: Customer vs.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00667 Palmetto Companies. Inc. Name of the Respondents Hearing Site: Tampa, Florida Morgan, Keegan & Company, inc. John Troy IHoward Nature of the Dispute: Customer vs. Member and Associated Person. i^EPRESENTATION OF PARTIES For Palmetto Companies, inc., hereinafter referred to as Claimant": Richard A. Harrison, Esq., Allen Dell, P.A

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbttration Between: Name of Claimant Morgan Stanley & Co., Incorporated vs. Name of Respondent Kerrie L. Best Case Number: 07-03466 Hearing Site: Indianapolis. Indiana NATURE OF THE DISPUTF Memt>er vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated f/k/a Morgan Stanley DW Inc. ("Claimant" or "Morgan Stanley") was represented by Ronald

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Suzette M. Roth vs. Names of Respondents The Rldenw)od Group Incorporated, National Financial Services. LLC, and Harold M. Magill Case Number: 07-02308 Hearing Site: Detroit, Michigan DISPUTE Customer vs. Members and Associated Person REPRESENTATIOM OF PARTIES Suzette M. Roth ("Claimant") was represented by Anthony V. Trogan, Esq., Antho

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Morgan Stanley & Co., Incorporated Respondent Jon Ross Barnes Case Number 08-00222 Hearino Site: Las Vegas, Nevada Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co., Incorporated, hereinafter referred to as "Claimant" D. Daxton White. Esq., Kane & Fischer Ltd., Chicago. Illinois. Respondent. Jon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. Steven Lesser (Respondent) Case Number: 07-03306 Hearing Site: Newari^, New Jersey Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Kayvan Karoon hereinafter referred to as "Claimant": Paul A. Lieberman, Esq., Law Offices of Paul A. Lieberman, Middletown, NJ. Respondent Steven Lasser hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Craig Shere (Claimant) vs. Calyon Securities (USA) Inc. (Respondent) Case Number: 08-00006 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Craig Shere hereinafter referred to as "Claimant": Jonathan Sack, Esq., Sack & Sack. New York, NY. Respondent Calyon Securities (USA) Inc.. hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global l^arkets (Claimant) vs. Sean Daly (Respondent) Case Number: 05-06051 Hearing Site: New York, New York Nature of the Dispute: IVIember vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets hereinafter refen-ed to as "Claimant": Erin E. MacAvoy. Esq.. Alonso, Andalkar. & Kahn, P.C.. New York, NY. Respondent Sean Daly hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Assalty (Claimant) vs. The Vertical Group (Respondent) Case Number: 08-01821 Hearing Site: New York. New Yorl< Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant William Assalty hereinafter referred to as "Claimant": Richard Alter, New York, New York. Claimant previously appeared pro se. Respondent The Vertical Group hereinafter refe

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00359 Zeus Securities, Inc.. ("Claimant") vs. RBC Dain Correspondent Services, ("Respondent") ATTORNEYS: For Claimant appeared Marc S. Gottlieb, Esq., New York, NY. For Respondent appeared In-house counsel Carolyn Guy, VP, Esq., Minneapolis, MN. NATURE OF DISPUTE: Member vs. Member DATE FILED: February 8. 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by fa