Stipulated Award FINRA Dispute Resolution In the Matter of the Art)ltration Between: Claimant Case Number 08-00513 SMH Capitol, Inc. Respondent Hearing Site: Dallas, Texas Eric Charies Edson Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, SMH Capitol, Inc., Jack D. Ballard, Esq. and Martha F. McDugald, Esq.: The Ballad Law Firm, Houston, Texas Respondent. Eric Charies Edson appeared pro se CASE INF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-00335 Ray D. Colter, Jr. and Ruth Colter Name of the Respondent Hearing Site: Jackson, Mississippi Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ray D. Colter, Jr. and Ruth Colter, hereinafter collectively refen^d to as "Claimants": Andrew Stoltman, Esq. and David Neuman, Esq., St

stipulated Award FINRA Dispute Resolution In the l\^atter of the Arbitration Between: Name of the Claimant Case Number: 08-00706 i\1organ Stanley & Co., incorporated (fbnneriy Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Orlando, Florida Paul J. Piscitelii Nature of the Dispute: Member vs. Associated Person. For Morgan Stanley & Co., Incorporated (fomierly Morgan Stanley DW Inc.). hereinafter referred to as "Claimant": D. Daxton

Award FINRA Dispute Resolution In the l\^atter of the Arbitration Between: Gregory William Eagan (Claimant) vs. HSBC Securities (USA), Inc. (Respondent) Case Number: 07-03592 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Gregory William Eagan hereinafter referred to as "Claimant": Ethan A. Brecher, Esq., Liddle & Robinson, LLP, New Yorl^, NY. Respondent IHSBC Securities (USA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alan Lehman (Claimant) vs. Chicago Investment Group, L.L.C. and Howard Charles Corum, Jr. (Respondents) Case Number: 07-03474 Hearing Site: New Yorl^, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alan Lehman hereinafter referred to as "Claimant": Patrlcl< Gaffney, Esq., Crowell & Moring LLP. New Yori< . NY. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey M. Gelger (Claimant) vs. Morgan Stanley DW, Inc. (Respondent) Case Number: 06-01086 Hearing Site: Columbus. Ohio Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jeffrey M. Geiger hereinafter referred to as "Claimant": Christopher R. Tettit, Esq., Lane, Alton & Horst, LLC, Columbus, OH. Respondent Morgan Stanley DW, Inc., hereinaft

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01546 Dawson James Securities, Inc. ("Claimant") vs. Joseph Anthony Gaibo ("Respondent") ATTORNEYS: For Claimant appeared Albert J. Poliak, Boca Raton. FL. For Respondent appeared Steven M. Selz, Esq., Selz & Muvdi Selz, P.A., Jupiter, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: May 14. 2008 CASE SUMMARY: Claimant alleged that Respondent owed money pursuant to the

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01103 Michael M. Jacobs, ("Claimant") vs. Bear Steams & Co., Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se. Fair Lawn. NJ. For Respondent appeared David Lebowitz, Esq., of JPMorgan Chase, New York, NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 11, 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to pay him earned

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASF. 08-00997 Ursula Marquardt, ("Claimant") vs. Ameripnse l-inancial Services and Mark C. l\^assaro, ("Respondents") ATTORNFYS For Claimant appeared Paul Marquardt. West Seneca. NY. For Respondents appeared in-housu counsel Courtney R. Reid, Qsq., Minneapolis. MN NATURE OF DISPUT t: Customer v. Member and Associated Person DATE i-lLLU: April 4. 2008 CASE SUMMARY: Claimant alleged that Res

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Donald F. Dailey, Jr. vs. Case Number: 06-02818 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Legg Mason Wood Walker, Inc.. Elizabeth M. Wolf, and John K. Russell NATURE QF THE PI8PUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Donald F. Dailey, Jr. ("Claimanr) was represented by Amold Y. Steinberg, Esq