Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimaiit: Case Number: 07-01411 Steven Wierzba Name of the Respondent: Hearino Site: San Francisco, Califomia E*Trade Securities LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Steven Wierzba, hereinafter referred to as "Claimant": appeared pro se, Oakland, Califomia Respondent E*Trade Securities LLC, hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Artntration Between: Name of the Claimants: Case Number 08-00455 David L. Woods and Twila R. Woods, Taistees of The Woods Family Living Tnjst dated July 27,1998 Name of the Respondente: Hearing Site: Phoenix. Arizona Raymond H. Johnson Pinnacle Advisors Group, LLC WFG Investments, Inc. National Financial Services LLC Nature of the Dispute: Customers vs. Member, Non-Member, and Associated

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 08-01846 Janet Laird Respondent Hearing Site: Los Angeles, California Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Janet Laird, hereinafter referred to as "Claimant": H Thomas Fehn, Esq., Fields, Fehn & Shenvin, Los Angeles, California. Respondent, Charles Schwab & Co., Inc.. hereinaft

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 07-03377 Antonio M. Gonzalez Respondent Hearino Site: Los Angeles, Califomia Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Antonio M. Gonzalez, hereinafter referred to as "Claimant": Antonio M. Gonzalez, Los Angeles, California. Respondent, Charles Schwab & Co., Inc. hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicholas S. Orlando and Michelle Orlando (Claimants) vs. Citigroup Global Markets, Inc., Donald B. Stokes, and Joseph Reap (Respondents) Case Number: 08-02315 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Nicholas S. Orlando and Michelle Orlando hereinafter collectively referred to as "Cla

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04626 Michael and Brenda Hadjigeorgalis, Michael i-iadjigeorgalis, IRA, and Brenda Hadjigeorgalis, IRA, ("Claimants") vs. Banc of America investment Services, Inc., ("Respondent") ATTORNEYS: For Ciaimants appeared Antonios i-iadjigeorgalis, Rutledge. TN. For Respondent appeared John O. Luicanslci. Esq., Wolff & Samson. PC, West Orange, NJ. NATURE OF DiSPUTE: Customers v. Member DATE

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-05002 Howard Winston, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Cincinnati, OH. For Respondent appeared John Bersin, In-house Counsel. Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 29, 2008 CASE SUMMARY; Claimant alleged that he sustained losses during the time the Respondent froze his account

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward J. Levy (Claimant) vs. Trident Partners. Ltd. (Respondent) Case Number: 08-03288 Hearing Site: New Yorl^, New Yorl< Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Edward J. Levy hereinafter referred to as "Claimant": Curtis E. Pew, Esq., Hofstra University Law Clinic, Hempstead, NY. Respondent Trident Partners, Ltd., hereinafter ref

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04581 Stewart Laurie McFadden, ("Claimant") vs. U.S. Bancorp Investments. Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Wheat Ridge, CO. For Respondent appeared William D. Nelson, Esq.. Rothgeriser, Johnson & Lyons, LLP, Denver, CO. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: December 4. 2008 CASE SUMMARY: Claimant alleged that the reason for termination

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00173 Fred Yoshida. Trustee of the Yoshida Trust dated 5/21/2003. ("Claimant") vs. Dustin George Buck and Edward D. Jones, LLP, ("Respondents") ATTORNEYS: Claimant appeared pro se, Santa Clara, CA. For Respondents appeared Dennis J. Capriglione, Esq., In-house Counsel. Edward D. Jones, LLP, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: January 11