Award FINRA Dispute Resolution In the Matter of the Art3itration Between: Claimant Bruce M. Firestone Respondents The Charies Schwab Corporation Charles Schwab & Co., Inc. Schwab Investments. Inc. Charles R. Schwab Evelyn Sanciangco Dilsaver Randall W. Merk George Manuel Pereira Mariann Byenvalter Donald F. Doward William A. Hasler Robert G. Holmes Gerald B. Smith Donald R. Stephens Michael W. Wilsey Kimon Pete

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06394 David Eari, individually and as personal representative of the Estate of Sophie H. Bebb Respondents Hearina Site: Denver, Colorado Morgan Stanley & Co., Incorporated Nancy Pizarro Mercado Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, David Eari ("Eari"), individually, and David E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05070 Joanne Bohnke Respondents Hearing Site: Tucson, Arizona Smith Barney, Inc. a/k/a Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant Joanne Bohnke, hereinafter referred to as "Claimant": David Valicenti, Esq., Cohen Kinne Valicenti & Cook LLP,

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 09-02059 William Quiros Respondents Hearing Site: Los Angeles, California Merrill Lynch, Pierce, Fenner & Smith Incorporated Steven Jay Port Kevin James Caputo Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, William Quiros, hereinafter refen-ed to as "Claimant": David Gumick. Esq., Lewit

Award FINRA Dispute Resolution In the Matter of the Art>itFation Between: Claimant Case Number 09-00630 Wendy Austin Rea Respondent Hearino Site: Los Anoeies. Califomia Wedbush Securities Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Wendy Austin Rea, hereinafter refen^ed to as "Ciaimanf: Patricio T.D. Banrera, Esq., Barrera & Associates, Manhattan Beach, Califomia; and H Thomas Fehn, Esq., F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-03886 Melinda J. Johnson Mitchell R. Johnson Respondent Hearing Site: Portland, Oregon Banc of America Investment Services, Inc. !. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Melinda J. Johnson and Mitchell R. Johnson, hereinafter collectively referred to as "Claimants": Terrance J. Slominski, Esq.,

stipulated Award FINRA Dispute Resoiutlon in the Matter of the Arbitration Between: Claimant Case Number: 09-03292 The RainMaker Financial Companies Pension Plan & Tmst, Joseph Forman and Nancy Fornian, TTEES Respondent Hearing Site: Los Angeles, California Wells Fargo investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. The RainMaker Financial Companies Pension Plan & Tmst, Joseph Fornian and Na

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03534 Raymond E. Hecl^ Names of the Respondents Hearing Site: New Orleans, Louisiana Parl< Avenue Securities LLC Kirk Kepper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Raymond E. Hecl< , hereinafter referred to as "Claimant," appeared pro se. For Respondent Park Avenue Securities LLC

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06146 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Raleigh, NC Sean Ruehl Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC ("Wells Fargo"), hereinafter referred to as "Claimant": Jonathan Levi

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: The Estate of John M. Frost, Richard 1. Scheyer, Executor and Jacqueline IVl. Frost (Claimants) vs. Royal Alliance Associates, Inc. and Michael D. Kresh (Respondents) vs. H.D. Vest Investment Services, Inc. (Third-Party Respondent) Case Number: 09-01735 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Customers vs. Member and Associated Person. Third-Pa