Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-04236 Donald L. Ames TTEE, Donald L. Ames Trust U/A DTD 04/09/82 Donald L. Ames TTEE, Mary R. Ames Trust U/A DTD 04/09/82 Respondents Hearing Site: Orlando, FL Charles Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald L. Ames TTEE, Donald L. Ames Tru

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant JCE/CBI. Ltd. vs. Case Number: 09-06230 Hearing Site: Houston, Texas Names of Respondents l\4organ Stanley Smith Barney f/k/a Morgan Stanley & Co., Inc. and Toni E. Melinder NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES JCE/CBI, Ltd. ("Claimant") was represented by Kay J. Hazelwood, Esq. a

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roger Fross vs. Name of Respondent Charles Schwab & Co., Inc. Case Number: 09-07271 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Roger Fross ("Claimant" or "Fross") was represented by Adam J. Gana, Esq., Napoll Bern Ripka, LLP, New York, New York. Charles Schwab & Co., Inc. ("Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jennifer Weintraub (Claimant) vs. Banc of America Investment Services, Inc. (Respondent) Case Number: 10-02820 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Jennifer Weintraub, hereinafter refenred te as "Claimant": Seth Huberman, Esq., Hubentian & Associates, Boca Raton, FL. Respondent Banc of America Investme

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: John S. Wilson (Claimant) vs. Barclays Capital Inc. (Respondent) Case Number: 10-03444 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant John S. Wilson, hereinafter referred to as "Claimant": Paul T. Shoemaker, Esq., Greenfield Stein & Senior, LLP, New York, NY. Respondent Barclays Capital Inc., hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06707 Michael Berovic, Individually and as Trustee of the Michael Berovic Revocable Living Tmstdtd 12/15/97, and on behalf of the Berovic-Goshen Village LLC Name of Respondents Hearing Site: Phoenix, Arizona KMS Financial Services, Inc. Christian Michael Sayre-Smith Nature of Dispute: Customer vs. Member and Associated Person REPRESENT

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06787 Manuel and Jean Bernal John and Jeannette McClennan Name of Respondents Hearing Site: Phoenix, Arizona Attila Gyula Toth Latitude Financial Services, LLC CapWest Securities, Inc. Workman Securities Corporation Nature of the Dispute: Customers vs. Members, Non-Member and Associated Person REPRESENTATION OF PARTIES Claimants,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06564 Memll Lynch, Piterce, Fenner & Smith Incorporated Respondent Hearing Site: Boise. Idaho Bryan C. Oliver Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce. Fenner & Smith Incorporated, hereinafter refen^ed to as "Claimant": Beth Delaney, Esq., Rubin, Fortunato& Harbison P.C., Paoli,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant William Pete Jones, II vs. Case Number: 10-02569 Hearing Site: Charleston, West Virginia Name of Respondent Ferris Baker Watts and its successor RBC Wealth Management, a division of RBC Capital Mari^ets Corporation NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES William Pete Jones, II ("Claimant") was represented by Stephen

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Keith Newman and Shalia Newman vs. Case Number: 10-00353 Hearing Site: Houston, Texas Name of Respondent TD Ameritrade, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Keith Newman ("Mr. Newman") and Shalla Newman ("Ms. Newman"), hereinafter collectively referred to as "Claimants," were represented by John Courtade,