Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lee Maimon and Barbara Maimon (Claimants) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 09-00978 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Lee Maimon and Barbara Maimon hereinafter collectively referred to as "Claimants": Joel "Feldman, Esq., Anapol, Schwartz, Weiss, Cohan,

Award FINRA Dispute Resolution In tiie Matter of tiie Aribitration Between: Name of Claimant Case Number 10-00267 Gary Maag Name of Respondents Hearing Site: Los Angeles, California Charies Schwab & Co., Inc. Kimon Peter Daifotis Randall Wayne Mark Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Gary Maag, hereinafter referred to as "Claimant": InA/in Stein, Investors Recovery Service,

Award RNRA Dispute Resolution In tiie Matter of the Arbttration Between: Name of Claimant Case Number 09-05801 Robert J. Bridge Name of Respondents Hearina Stte: San Diego, Califomia Merrill Lynch, Pierce, Fenner & Smith Incorporated John E. Elltott Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Robert J. Bridge, hereinafter referred to as "Ciaimanf: Steven M. Green, Esq., The Law Finn

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ruseil E. Erkkila and Gloria Erkkila vs. Names of Respondents Wells Fargo Advisors, LLC, and Timothy W. Baltzer Case Number: 09-05480 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Ruseil E. ErkkWa and Gloria Erkkila ("Claimants") were represented by Daniel D. Hill

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas E. Bryant and Fabrice W. Haddad (Claimants) vs. The Royal Bank of Scotland and RBS Greenwich Capital (Respondents) Case Number: 09-02849 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Non-Member and Member. REPRESENTATION OF PARTIES Claimants Douglas E. Bryant ("Bryant") and Fabrice W. Haddad ("Haddad"), hereinafter collectively referred t

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Walter Roth (Claimant) vs. A. G. Edwards & Sons, Inc. (Respondent) Case Number: 08-01654 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATiQN OF PARTIES Claimant Walter Roth hereinafter referred to as "Claimant" appeared pro se. Previously represented by Paul I. Weiner, Esq., Weiner & Katz, L.L.C, Livingston, NJ. Respondent A. G. E

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00741 Ameriprise Financial Services, Inc. (Claimant) vs. Michael Gavin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Ml. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 17, 2010. CASE SUMMARY: Claimant asserted the following causes of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02399 UBS Financial Services Inc. (Claimant) vs. Richard E. Griffler (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Julian W. Wells, Esq., Riker Danzig Scherer Hyland Perretti LLP, Morristown, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 20,2010. CASE SUMMARY: Claimant asserted the following causes of action: breach of

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Bertram E. Barnett, Jr., Robert L. Cockroft, Kathy C. Cockroft, Allen R. Graber, Bittjal Partners and Robert R. Yarbrough Name of the Respondent Citigroup Global Markets, Inc. Case Number: 09-01796 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bertram E. Barnett Jr. ("Barn

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Reef Securities, Inc. vs. Case Number: 09-02634 Hearing Site: Dallas, Texas Names of Respondents/Counter-Claimants James Michael Buquoi and Ryan Patricl< Wright NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES Reef Securities, Inc. ("Claimant") was represented by Joel Held, Esq., and Laur