Award FINRA Dteputo Resolution In the Matter of the Ariaitration Between: Claimant Case Number 08-02011 Wells Fargo Investmente, LLC Respondent Hearina Site: Los Angeles. Califomia Ronald L. Rigsby Nature of the Dispute: Member vs. Assocteted Person REPRESENTATION OF PARTIES Claimant. Wells Fargo Investmente, LLC. hereinafter referred to as "Wells Fargo" or Xlaimant": Gregory B. Simon, Esq., Kane & Fischer. Ltd., Chicago, Illinois. Respon

Award FINRA Dteputo Resolution In the Matter of the Arbitration Between: Name of the Claimant American Capital Partners, LLC Name of the Respondent Greg Klement Name of tiie Counter-Ciaimante Greg Ktement Mary Klement Name of the Counter-Respondent American Capital Partnere, LLC Name of the Third-Partv Ciaimante Greg Klement Mary Ktement Name of tiie Third-Partv Respondent Andrew Jonathan Tressler Master Consolidated Case

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Claimant Case Number 08-02789 Morgan Stanley & Co. Incorporated Name of the Raaoondent Hearing Site: IJOS Angeles, Califomia Charies A. L.averty Natore of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co. Incorporated hereinafter referred to as "ClaimanT: Patrick J. Folan. Esq., St. John, Wallace. Bren

Award HNRA DIsputs Reedirtion In the Matter of the Arbitration Bebiveen: £!aim£Q& Case Number 08-02352 Val and Ijoreen Pearson JTWROS Rftftpondents Hearina SHe: Phoenbc. Arizona Lawson Financial Corporation Nicholas Lawson Robert W. l.awson Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Val and l^reen Pearson JTWROS, hereinafter coliectively referred to as "Claimants': B. Lance

Award FINRA DIsputo Rasoliitlon In the Matter of the Ariaitration Between: Nanneoftheaalmants Case Number OS-03017 Scott Doyle and Patricia Doyle, Joint Tenants Name of the Raaoondent Hearino Site: Los Angeles. Califomia Charies Schwab & Co.. Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Scott Doyle ("S. Doyle") and Patricia Doyle ("P. Doyle'), hereinafter collectively refened to as "Claimants": pro

Award FINRA Dispute Resolution In the Matter of the Artsitratlon Between: Name of the Claimant Case Number: 09-00668 Wachovia Securities. LLC Name of the Respondent Hearina Site: Boca Raton, Florida Bruce K. Bruning Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter refen^d to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Flore, Ariington. Virginia. B

MODIFIED AWARD FINRA DISPUTE RESOLUTION CASE: 09-00617 James Barron (Claimant) vs. Fidelity Brokerage Services, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Natick, MA. For Respondent appeared Diane M. Brown, Esq., Fidelity Brokerage Services, LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 2. 2009 CASE SUMMARY: Claimant asserted the following causes of action: negligence, breach of fiduciary d

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02151 Merrill Lynch, Pierce, Fenner & Smith Inc. Name of the Respondent Hearina Site: Washington. D.C. Samuel Begun Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce. Fenner & Smith Inc.. hereinafter referred to as "Claimanf: Christopher S. Koller, Esq., Rubin, Fortunate & Harbiso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01644 Wachovia Securities. LLC Name of the Respondent Hearina Site: Raleigh. North Carolina Richard H. Hobgood Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities. LLC CWachovia"), hereinafter refen^d to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington

Awai^ FINRA Dispute Resolution In the Matter of the Arbitration Between: Clark Dodge & Co., Inc. (Claimant) vs. Richard Sonkin (Respondent) Case Number: 07-00870 Hearing Site: New Yoric, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Clark Dodge & Co., Inc., hereinafter referred to as "Claimant": Randle B. Carpenter, Jr., Esq., Carpenters Law Offices, Larchmont, NY. Respondent Richard Sonkin hereinaft