Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01872 Morgan Stanley & Co., Inc. (fonneriy Dean Witter Reynolds Inc.) Name of the Respondent Hearing Site: Norfolk, Virginia Gary R. Compton Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Inc. (formerly Dean Witter Reynolds Inc.), hereinafter referred to as "Claimant": Diane C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hatch Investment Agency, Inc. vs. Name of Respondent Kiriin Securities, Inc. Case Number: 06-02116 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Terminated Member REPRESENTATION OF PARTIES Hatch Investment Agency, Inc. ("Claimant") was represented by C. Mark Stratton, Esq., Laws Offices of Shannon, Gracey, Ratliff &

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert J. Baker and Shiriey J. Baker, Individually and as Trustees of the Robert and Shiriey Baker Revocable Trust vs. Names of Respondents Financial Planning Consultants, Inc. and R. Michael Rose Case Number: 07-01657 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF P

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03183 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. David George ("Respondent") ATTORNEYS: For Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent David George did not submit an Answer to the State

Award FINi^ Dispute Resolution In the Matter of the Arbitration Between: Penson Financial Services, Inc. (Claimant) vs. Arbco Capital Management, LLP (Respondent) Case Number: 08-00083 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Penson Financial Services, Inc., hereinafter referred to as "Claimant": Edward W. Larkin, Esq., Baritz & Colman, LLP, New York, NY. Respondent Arbco Cap

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Keith A. Grice, Individually and as personal representative for the Estate of J. Max Grice Roger D. Weed Dr. IHoward L. Brazil J. D. Russell Joyce Russell Name of the Respondent Morgan Keegan & Company, Inc. Case Number: 07-02010 Hearino Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PAR

STIPULATED AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Purita Mackey, Individually and as Trustee of the Purita Mackey Trust vs. Case Number: 07-00340 Hearing Site: Chicago, Illinois Names of Respondents Edward D. Jones, LLP and Jonathan Allen Zulauf NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Purita Mackey, Individually and as Trustee of

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William A. Capron and Kimberlee R. Johnson vs. Case Number: 07-00878 Hearing Site: Detroit, Michigan Names of Respondents A.G. Edwards and Sons, Inc., John McCloskey, Jr., and James L. Carter NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES William A. Capron ("Capron") appeared pro se. Kimberlee R

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Guess vs. Names of Respondents A.G. Edwards & Sons, Inc. and Gary Sliemers Case Number: 06-05147 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Michael Guess ("Claimant") was represented by Richard M. Kerger Esq. and Khary L. Hanible, Esq., Ker

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicola Dellaquila (Claimant) vs. White Pacific Securities, Inc. (Respondent) Case Number: 07-01850 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Nicola Dellaquila hereinafter referred to as "Claimant": Bruce D. Oakes, Esq., SimmonsCooper, LLC, East Alton, IL. Respondent White Pacific Securities, Inc., hereinafter