AWARD FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Ann Harris vs. Case Number: 09-04441 Hearing Site: Detroit, Michigan Names of Respondents Charies Schwab & Co.. Inc., Adam Matthew McCausland, and Terrance Michael Turpin NATURE OF THe PISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Ann Harris ("Claimant" or "Harris") was represented by Invin Stein, Investors Rec

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas A. Grant and Mary Stuart Mclntire vs. Case Number: 09-05472 Hearing Site: Houston, Texas Names of Respondents AFS Brokerage, inc., Evolve Securities. Inc., First Midamerica Investment Corporation, John Edward Sprague, and Sprague Capital Management Group, LLC and Name of Cross-Claimant John Edward Sprague vs. Names of Cross-R

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Duane Stoipe and Sheiia Stoipe, Duane Stoipe and Sheiia Stoipe. Beneficiaries of the Stoipe Charitable Remainder Unitrust, Duane Stoipe. IRA, Stoipe Family Limited Partnership, Stoipe Management, Inc., and Stoipe Charitable Remainder Unitrust vs. Case Number: 09-01871 Hearing Site: Minneapolis, Minnesota Names of Respondents RBC Capital Mar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael J. Bergin (Claimant) vs. David Restivo (Respondent) Case Number: 09-05936 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Michael J. Bergin, hereinafter referred to as "Claimant": Andrew Small, Esq., A. Bruce Small PLLC, New York, NY. Respondent David Restivo, hereinafter referred to as "

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03429 Wells Fargo Advisors, LLC Vk/a Wachovia Securities, LLC (Claimant) vs. Stephen Giella (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Nicole E. Stadelmaier, Esq., Fiore & Levine, PLLC, Ariington, VA. Respondent appeared pro se, Lincolnton, GA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 22, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Name of the Claimant Case Number: 09-05210 Patricia M. Schluter, Individually Names of the Respondents Hearing Site: Boca Raton, Florida Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Carlos Gonzalez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia M. Schluter, Individually, hereinafter referred to as

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-02912 Wachovia Securities, LLC Name of Respondent Hearing Site: Los Angeles, California Darren B. Meehan Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Timothy N. Will. Esq., Albert & Will, LLP, Torrance, California. Resp

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-03678 Morgan Stanley & Co., incorporated (fonnerly Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Seattle, Washington John Gregory Fenton Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co., Incorporated (formerly Morgan Stanley DW Inc.), hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03266 Edward W. Karrels Name of the Respondent Hearing Site: Nashville, TN Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edward W. Karrels, hereinafter referred to as "Claimant": H. Naill Falls, Jr., Esq., Falls & Veach, Nashville, TN. For Morgan Keegan & Co., Inc. ("Morgan Kee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04417 Samantha Sampson, individually and as trustee and beneficiary of the Samantha Arlene Sampson Revocable Living Trust Name of the Respondent Hearing Site: Miami, Florida The GMS Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Samantha Sampson, individually and as trustee and beneficiary o