Awird FINRA DItpule Resoliillon In the Matter of the Arbitration Between: Claimant Case Number 0m24Q1 VHddOkasaki ResDondenta Hearing Site: Laa Vtoqaa. Nevada Citigroup Global Mariwis. Inc. Paul Alexander Couch Nature of Dispute: Customer vs. Member and Aaaodated Pennn REPRESEMTAnQM OF PARTIEB Claimant VIkki Okasakl. hereinafter refened to as "Claimant: VIMd OkasaM, Henderson, Nevada. Respondents, Citigroup Global Martcets, Ina ("Citi

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Gerald Lanzalotto (Claimant) vs. Charies Schwab & Co., Inc. (Respondent) Case Number: 09-03717 Hearing Site: New Yori«, New Yoric Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Gerald Lanzalotto, hereinafter referred to as "Claimant": Paul B. Radvany. Esq., Lincoln Square Legal Services, Inc., New Yoric, NY. Charies Schwab & Co., inc. hereinafte

Award FINRA DIspiito Retohition In the Matter of the Arbttration Between: Claimants Case Number 08-02847 R. Doming & S. Doming. TTEE Doming Family Uving Trust U/A dtd 02/21/1997; and Sharon M. Deming IRA Respondent Hearing Site: Portland, Oregon Charies Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, R. Deming & S. Deming, TTEE Deming Family Living Trust U/A dtd 02/21/1997 (the TrusIT) a

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01784 UBS Financial Sen/ices (Claimant) vs. Patricic A. Garcia (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jordan D. Weinreich, Esq., Riicer Danzig Scherer Hyland Perretti LLP. Monistown, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: ApriilS. 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01074 PCG l\1anagement, LP (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James D. Gaberino, Dallas, TX. For Respondent appeared Genna Stephens, Esq., Fulbright & Jaworski, L.L.P., Dallas, TX. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 3, 2010 CASE SUMMARY: Claimant asserted the following causes of action: fraud and hidden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Conroy and Kevin Brennan (Claimants) vs. James Maurer (Respondent) Case Number: 09-06625 Hearing Site: New Yorit, New Yoric Nature of the Dispute: Associated Persons vs. Associated Person. REPRESENTATION OF PARTIES Claimants John Conroy ("Conroy") and Kevin Brennan ("Brennan"), hereinafter collectively referred to as "Claimants" appeared pro se. Respondent James Maurer here

AWARD FiNRA Dtoputo Reaolution In the Matter of the Artsitration Between: Name of Claimant Summit Oalc, LLC vs. Case Number 09-03649 Hearing Site: Detroit, Michigan Names of Respondente Merrill Lynch, Ptorce, Fenner & Smith, inc. and Kenneth S. Jones MATURE OF THE DISPUTE Customer vs. Member and Assodated Person REPRESENTATION OF PARTIES Summit Oalc, LLC ("Claimanr) was represented by Ralph R. Safford, Esq., Safford & Baker, PLLC,

AWARD FINRA Dtoputo Reaolution In the Matter of the Arbibtrtion Between: Nanws of Claimante Donaki Bloss and Catharine Btoss vs. Naples of ResDorKiente Edward D. Jones & Co., L.P. and Edwin Chesney IHanrto Case Number 09-03841 Hearing Site: St. l-ouis, Missouri MATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESEMTATION OF PARTIES Donald Bloss ("DonaM") and Catharine Btoss fCatharine'^, hereinafltor coilectively re

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01582 David S. Le Munyon, Jr. (Claimant) vs. Wachovia Securities, LLC and Wells Fargo Advisors LLC (Respondente) REPRESENTATION OF PARTIES: Claimant appeared pro se, Atco, NJ. For Respondente appeared Kenneth J. Tumbuil, Esq., Morgan, Lewis & Bocklus LLP. New Yori«. NY. NATURE OF DISPUTE: Associated Person v. Members DATE FILED: March 31, 2010 CASE SUMMARY: Claimant asserted the following cause of action: e

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01373 Gary K. Maxwell (IRA) (Claimant) vs. Franklin Temptoton Financial Services Corp. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Ciianute, KS. For Respondent appeared David P. Goss, Esq., Franklin Templeton Investmente, San Mateo, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 18,2010 CASE SUMMARY: Claimant asserted the following cause of action: sales charge assesse