Stipulated Award FINRA Dtoputo Reaolution In the Matter of the Arbitration Between: Claimante Case Number 0M0203 Maureen T. Graf Robert Bulchis Respondente Hearing Sito: San Francisco, Califomia Charies Schwab & Co., Inc. Randall Meri( Natore of the Disputo: Customers vs. Member and Assodated Parson REPRE8ENTATI9N PF PAPTIH Claimante, Maursen T. Graf and Robert Bulchis, hereinafter collectively referred to as "Ctoimanto": Tanya Sacks,

Award FINRA DIaputo Resolution In the Matter of the Arisitration Between: Claimant Case Number: 09-04136 Maimoona Mirdad Respondent Hearing Stte: San Francisco, Califomia Wachovia Securities, LLC Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Maimoona Mirdad, hereinafter referred to as "Claimanf: Brett A. Alcala, Esq., Alcaia Law Firm, San Mateo, Caittbmia. Respondent, Wachovia Securities, LLC, hereinafter r

Award FINRA Dtepute Resolution In ttie Matter of ttie Art)ttraflon Betereen: Claimante Ifrach Family Living Trust #1 Ifrach FamHy Living Tmst #2 Shoshana Ifrach iRA Abraham Ifrach IRA Reapondente First Montauk Securities Corp. JP Turner & Company, LLC GunnAllen FInandal, Inc. IMaxxtrade, Inc. Shiomo S. Epibolm Epiboim, Poube & Co., Inc. Cresa-Ctolmant First IMonteuk Securities Corp. Crow-RWP9P^OTt Shiomo S. Epiboim

Award FINRA Dispiito Readutlon In the Matter of the Ariaitration Bebween: Cteimant Case Number 09-04990 Dr. John Alton Ramey, as an individual and as authorized repreaentative of Madrugada LP 4K and Ramey Company Profit Sharing DTD 1/4A)1 Respondente Hearing Stte: San Diego, Califomia J. Rodney Duckworth, Sr. J. Rodney Duckworth, Jr. UBS Financial Sennces Inc. Nature of the Dieputa: Customer vs. Member and Associated Persons RgPRESEMTATIO

Award FINRA DIsputs Resolution In the Matter ofthe Arbitration Between: Claimant Case Number: 09-01190 Lynell Miller Jones. IRA Rollover Respondents Hearing Site: San Francisco, California Charies Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Lynell Miller Jones, IRA Rollover, hereinafter refsned to as "Claimanf: Thomas D. Maurieilo, Esq., Mauriello

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05230 James P. Beaty, Trustee of the Beaty Revocable Survivor's Trust U/l/DJune5,1990 Respondent Hearino Site: San Francisco, California Morgan Stanley & Co., Incorporated Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, James P. Beaty, Trustee of the Beaty Revocable Sun^ivor's Trust, hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nomian Robert Malo (Claimant) v. Edward Asch. Maribeth Asch, Gerard Axel, Benito Axel, Daniel F. Balko, Peter Beriin, Ethel Zebitz. Judy Beriin, Thomas J. Black. Bmce D. Brauner, Sylvia Brauner. Holly Colangelo, Louis D'Lando. Adele D'Lando, Melvin Felker, Marie Felker, Paulette Haim, Denise Marino. Steven Lipschutz, Helene Lipschutz, Joseph Messina, Saivatore Messina. Katherine Messina. He

Award HNRA DIaputo Resolutton In the Matter of the Art>itratton Between: Claknant C-mf^mh?r 09-05650 Martha C. Campbell, personally and on behalf of the Martha C. Campbell Roltover IRA Respondente: Hearing Site: San Dtogo, CalHbmn KevtoA.WHIiams North Global Securittes, Inc. North WMth Management Company Asset Management Strategies, LLC Steven Lee Thornton Daniel Gullten Natore of the Dispute: Customer vs. Member, Assodated Persons an

Award HNRA DIsputo Rssdutton In ttis Matter of the AriMtrafion Between: Claimant Cage Number 09-04698 William Huhn Living Tmst ResDondent Hearing Site: Los Angeles, Cslifomis E^rade Securities, LLC Nature of the Dispute: Customer vs. Meml)er gFPARTlH Claknant, Wliiam Huhn Living Tnist, herslnsfler refened to ss 'ClaknanT: Pro Se, Las Vegas, Nevada Respondent ETrsde Securittes, LLC. hereinafter referred to ss "RespondenT: John BerBki.

Award FINRA Dispute Resolutkni In the Matter of ttie ArfoKration Between: Namft off the Claimant CaW Nwn&On 09-01333 George R. Grant Mama of Sift Reftpondanta HaarinaSHe: San Frandsoo, CatHbrnia Sagepoint Financial, Inc. Dave Steven Samuels MKhaelSims Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, George R. Grant, herekiafter refened to as 'Clalinanr: George R. Grant Su