AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stephen Jans vs. Case Number: 07-03257 Hearing Site: Minneapolis. Minnesota Names of Respondents Inten/est International Equities Corporation, Kevin R. Miller. Fringe Benefits Design of Minnesota, Inc.. and Intervest International, Inc. and Name of Counter-Claimant Fringe Benefits Design of Minnesota, Inc., vs. Names of Counter-Respo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Shirish Shah vs. Names of Respondents New Yoric Life Insurance Co. and Nilam Patel Case Number: 07-02377 Hearing Site: Chicago, Illinois DISPUTE Associated Member vs. Non-Member and Associated Person Shirish Shah ("Claimanr) was represented by Mitchell A. Kline, Esq., Law Office of Mitchell A. Kline. Chicago, Illinois. New Yoric Life Ins

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gall Ann Berger Darlow vs. Case Number: 07-02971 Hearing Site: Chicago, Illinois Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. d/b/a Merrill Lynch and Company, Timothy J. Cunningham, Nora Winsberg, Delmar J. Austin, and Kenneth C. Rohr NATURE OF THE DISPUTE Customer vs. Member and Associated Persons Gail Ann Berger Darlow ("Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 08-00432 Harold Sweet and Georgia Sweet Name of the Respondent Hearing Site: Little Rock, Arl^ansas Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Harold Sweet and Georgia Sweet, hereinafter collectively referred to as "Claimants": Andrew Stollmann, Esq., Stoltmann Law Offices. P.C. Chic

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-03505 L. Pauline Clark Revocable Trust, L. Pauline Clark Trustee and Russell Clark Name of the Respondents Hearing Site: Little Rock. Arkansas Morgan Keegan & Company, Inc. J. David Fortenberry Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For L. Pauline Clark Revocable Trust, L. Pau

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00469 Phoenix Energy Corp. Names of the Respondents Hearing Site: Bimiingham, Alabama Morgan Keegan & Company, Inc. Steve Kellough Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Phoenix Energy Corp., hereinafter referred to as "Claimant": Thomas Michael IHobson, Esq., Johnson & IHobson

Award FINRA Dispute Resolution In the Matter of the Arisltration Between: Claimant Case Number: 07-01662 Banc of America Investment Services, Inc. Respondent Hearing Site: Phoenix, Arizona Donna Shurot Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/ices, Inc. hereinafter refened to as "Claimant": Gregory Simon, Esq., Kane & Fischer, Chicago, Illinois. Respondent, Donna Sh

Award FINRA Dispute Resolution In the Matter of the Affoitration Between: Name of the Claimant John W. Jarvis Case Numt)er 08-00074 Name of the Respondent Peter A.5chopen Hearing Site: Denver, Colorado Name of Counter-Claimant Peter A. Schopen Name of Counter-Resoondent John W. Jarvis Nature of the Dispute: Associated Person v. Associated Person Associated Person v. Associated Person REPRESENTATION OF PARTIES Claimant/Cou

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Steven R. Lare vs. Case Number: 08-01418 Hearing Site: Detroit, Michigan Names of Respondents The Huntington Investment Company and Joseph A. Klein NATURE OF THE DISPUTg Customer vs. Memt>er and Associated Person REPRESENTATION OF PARTIES Steven R. Lare ("Claimant") appeared pro se. The Huntington Investment Company ("HlC") and Joseph A. Kle

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Cobra Trading, Inc. vs. Name of Respondent Beveriy Ann Miinar Case Number: 08-01564 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Member vs. Customer Cobra Trading, Inc. ("Claimanr) was represented by Bradley M. Orschel, Esq. and Richard Wilson, Esq., Maslon, Edelman, Borman & Brand, LLP, Minneapolis. Minnesota. Beveriy Ann Miin