Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Melvin R. Aoki Melvin R. Aokl Revocable Living Trust Barbara Porter Barbara Porter Revocable Trust Marjorie B. Parker Laureen C. Branch Branch Holdings, Inc. Blur Industries, Corp. Avis Y. Nakama Avis Y. Nakama Trust Lum Borthers, LLC Piikoi Kawananakoa Just Black, LLC Kazuko Y. Tietz Name of Respondents National Financial Se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanrte of Claimant Case Number: 10-00957 Belinda E. Bullock Name of Respondents Hearina Site: Los Angeles, California Wedbush Securities, Inc. Edward W. Wedbush Nature of Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Belinda E. Bullock, hereinafter referred to as "Claimant": H Thomas Fehn, Esq., Fields, Fehn & Sherwin

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03927 Memll Lynch. Pierce. Fenner & Smith Incorporated (Claimant) vs. Michael J. Gill (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey F. Manzella. Esq.. Rubin. Fortunate & HariDison, P.C. Paoli, PA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 1. 2010. CASE SUMMARY: Claimant asserted the following causes of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07225 UBS Financial Services Inc. (Claimant) vs. Anthony Carpenter (Respondent) REPRESENTATION OF PARTIES: For Claimant: Michael T. Roche, Esq., Schuyler, Roche & Crisham, P.C, Chicago, Illinois Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 29, 2009. CASE SUMMARY: Claimant asserted the following causes of action: breach of promissory note/contract and unjust

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03734 Citigroup Global Markets Inc. ("Claimant") vs. Michael S. Bell ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Justin A. Goldberg, Esq., Alonso, Andalkar & Kahn, PC , New York, NY. Respondent did not appear in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: August 19, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of contract. The cause of action relat

WWIW FINRA DISPUTE RESOLUTION CASE: 10-03661 Weils Fargo Advisors Financial Network, LLC, f/n/a Wachovia Securities Financial Network, LLC ("Claimant") vs. Lee Jenkins ("Respondent") REPRESENTATION OF PARTIES: For Wells Fargo Advisors Financial Network, LLC, f/n/a Wachovia Securities Financial Network, LLC: Gregory S. Tendrich, Esq., Gregory Tendrich, P.A. Boca Raton, Florida. Respondent Lee Jenkins did not appear. NATURE OF DISPUTE: Member vs. Associate

Award Data Award: $8,249.59 Interest: at the rate of 3.101 % from October 19, 2009 until the Award is paid Attorneys' Fees: $0.00 Costs: $0.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $8,249.59. 2) Respondent is liable for and shall pay to Claimant interes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Juliana Attwood (Claimant) vs. Hapoalim Securities USA, Inc. (Respondent) Case Number: 09-07082 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Juliana Attwood, hereinafter referred to as "Claimant": Ethan A. Brecher, Esq., Liddle & Robinson, L. L. P., New York, NY. Respondent Hapoalim Securities USA, Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01666 Weils Fargo Advisors, LLC Name of the Respondent Hearing Site: Phoenix, Arizona Scott Randall Moore Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Law Offices of Renan I. Sugarman, Chicago, Illinois

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-03541 Jonathan R. Zingeser Respondents Hearina Site: Portland, Oregon Pacific West Securities. Inc. Harold S. Hilton Philip A. Pizelo Shanon L. Ford Mark T. McCloskey Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Jonathan R. Zingeser, hereinafter referred to as "Claimant": Irwin Stei