Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Samuel Bleichfeld (Claimant) vs. Isaac Simon and UBS Financial Sen/ices, Inc. (Respondente) Case Number: 09-01776 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Samual Bleichfeld hereinafter referred to as "Claimant" appeared pro se. Respondente Isaac Simon ("Simon") and UBS Financial Services

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06261 Marty Wekser (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. North Hollywood, CA. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Memt)er DATE FILED: Novemt)er 2, 2009 CASE SUMMARY: Claimant asserted the following cause of action: teilure to follow instructions to transfer funds. Cl

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05683 Suicmanee Rattanavong Lin (Claimant) vs. E^Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Pflugerville, TX. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 23, 2009 CASE SUMMARY: Claimant asserted the tollowing cause of action: toilure to process transfer request. The c

AWARD FINRA Dteputo Reeoiutlon In the Matter of the Art)itratton Between: Name of Cteimant Winona Stete Unlvereity Foundation vs. Case Number 09-05803 Hearing Site: Minneapolis, Minnesota Names of ResDondente Edward D. Jones & Company and Brian Aton Thurow MATURE QFTHF DISPUTE Customer vs. Member end Associsted Pereon REPRPSEMTATIOM OF PARHES Winona State Univereity Foundation fCiaimanf') was represented by Kent A. Gemender. Esq..

Award FINRA DIeputo Reeoiutlon In ttie Matter of ttie Art}itratlon Between: Name of the Claimante Case Number: 09-04620 Euro Pacifte Capital, Inc. and Peter Schiff Name of the Respondent Hearing Site: Los Angeles, California Charies Patrick Hanten Nature of the Dispute: Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimante, Euro Pacific Capitol, Inc. ("Euro Pacific") and Peter Schiff ("Schiff"), hereinafte

Award FINRA DIeputo Reeoiutlon In the Matter of the Art)itration Between: Name of ttie Cteimant Case Number 09-03470 T. Hayes & D. Hayea TTEE Honolulu Professtonal Svcs LTD U/A DTD 05/01/2000 Name of the Respondent Hearing Site: Honolulu, Hawaii Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant T.Hayes & D. Hayes TTEE Honolulu Professional Svcs LTD U/A DTD 05/01/2000, hereinafter referred

Award FINRA Dteputo Resolution in the Matter of the Ari3itration Between: Name of the Cteimant: Case Number 09-00992 Jean Christopherson - Wall IRA Name of ttie Respondent: Hearing Site: Seattle, Washington Charies Schwab & Co., inc. Nature of the Dtepute: Customer vs. Memt)er REPRESENTATION OF PARTIES Claimant Jean Christopherson -Wall IRA, hereinafter referred to as "Clalmanf: David Gaba, Esq., Compass Law Group PLLC. Seattie. Washington.

Award RNRA Dteputo Reeoiutlon In the Matter of ttie Arbttratton Between: Name of ttie Claimante Case Number: 08-03904 Kathleen Pomeroy The Pomeroy Family Trust The Pomeroy Bypass Trust The Maritel Deduction Trust Name of ttie Respondent Hearing Site: San Francisco. Caiifomte Charies Schvrab & Co., Inc. Natore of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Cteimante, Ksttileen Pomeroy ("Pomeroy*), The Pomeroy Family Tru

Award RNR A Dtepute Reeohitlon In ttie Matter of ttie Aribttration Between: NamaofttiaCiaknant Case Number 08-04008 Darren Layne Meyer Name of ttie Raaoondent Hearing SHe: Denver, Cotorado Ameripriee Rnanclal Senrioee, Inc. Nature of ttie Dtepute: Aesocteted Person vs. Member REPRESEJfTATlQN OF PARTIES Cteimant Darren Layne Meyer, hereinafter referred to aa XteimantT: Peter A. Cantwett, Esq., Cantwell & (^antwell, Chicago, llllnote Reepon

Award HNRA Dtopirts Reeolutton in ttie Matter of the Arbitratton Between: plflimants Case Number 08-00049 Marie Atake PatAtoke f^Dondents Hearing Site: Los Anoelea. Califfomla Strasbourger Pearson Tuk:in WoHf, inc. Ijegend Merchant Group, Inc. ftondyPiekls Nature of the Dispute: Customers vs. Members and Assodaled Person REPRESENTATION OF PARTIES Claimants, Marie Atoke and Pat Atake hereinafter collectively referred to as "dalmante"