AWARD FINRA DISPUTE RESOLUTION CASE: 10-02428 RBC Capital Markets Corporation (Claimant) vs. Sherry Maynard (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Donald S. Arbour, Esq., Arbour Law Firm, Minneapolis, MN. For Respondent appeared John L. Einstein, IV, Esq., Cariile Patchen & Murphy LLP, Columbus, OH. NATURE OF DISPUTE: Member v. Associated Person DATEFILED:May 19, 2010 CASE SUMMARY: Claimant asserted the following cause of actio

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02397 Wells Fargo Advisors, LLC (Claimant) vs. Robert Buckelew (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Joseph Castelluci, Esq., Peluso Castelluci & Weintraub, P.C, Shrewsbury, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 18, 2010 CASE SUMMARY: Claimant asserted the followi

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02329 Michael Palmisano, Individually; Michael and Cynthia Palmisano; Martha Rossdahl, Trust; Cynthia Palmisano, Keogh; Hilma Rossdahl, Trust; Michael Palmisano, IRA; and Cynthia Palmisano, IRA (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Michael Palmisano, Elk Grove, IL. For Respondent appeared Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Fra

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02096 Vicki Williams (Claimant) vs. Wells Fargo Investments, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Dallas, TX. For Respondent appeared Thomas F. Kopshever, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 30, 2010 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by illiquidity of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02047 Michael Allan Lees (Claimant) vs. Morgan Wilshire Securities, Inc., and Richard Douglas Pollan (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rapid City, SD. For Respondent Morgan Wilshire Securities, Inc., appeared Michael Finnan, Morgan Wilshire Securities, Inc., Garden City, NY. Respondent Richard Douglas Pollan appeared pro se, Huntington, NY. NATURE OF DISPUTE: Customer v. Member

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward D. Jones & Co., L.P. (Claimant) v. George Turak (Respondent) Case Number: 10-00422 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Edward D. Jones., L.P., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner& Schmidt, L.L.C, Cranford, NJ. Respondent George Turak hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kenneth J. McKenna (Claimant) vs. Reid and Associates LLC, West Rock Advisors, Inc., and Mark Carmen Casolo (Respondents) Case Number: 09-06134 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Kenneth J. McKenna hereinafter referred to as "Claimant": Joseph A. Granich, Esq., Flint & Granich, PLLC,

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Case Number: 10-01667 Wells Fargo Advisors, LLC Name of Respondent Hearing Site: Reno, Nevada Michael William Adams Nature of 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 1. Sugarman, Chicago, Illinois. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-00013 Roee Kraemer Name of Respondents Hearina Site: Los Angeles, Califomia Private Asset Group, Inc. Burice Ambrose Dambly Daryl Marc Holzberg James Mattiiew Walsh Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Roee Kraemer, hereinafter referred to as "Claimant": Pro Se, Lake For

Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Name of Claimant Case Number: 09-07184 David Parri Name of Respondent Hearina Site: Phoenix, Arizona Wells Fargo investments, LLC Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, David Parri, hereinafter refen-ed to as "Pam" or "Claimant": Mark D. Lammers, Esq., DeConcini McDonald Yetwin & Lacy, Tucson, Arizona. Respondent, Wells Fargo Inve