AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of Claimants Eugene L. Harrison Trust and Delta A. Harrison Trust vs. Case Number: 08-01240 Hearing Site: Oklahoma City, Oklahoma Name of Respondent UBS Financial Sen/ices. Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Eugene L. Harrison Trust and Delta A. Harrison Trust ("Claimants") were represented by Brian J. Rayment, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: QIaimant Case Number 07-02184 Giobai Crown Capitai, LLC Respondent Hearing Site: San Franciscx>, California Ronald T. Clement pounter-Ciaimant Ronald T. Clement pounter-Respondent Global Crown Capital, LLC Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Global Crown Capital

Stipulated Award FINRA Dispute Resolution In the Matter of the Ari^itration Behveen: Name of the Claimant Case Number: 08-01633 Gregory Hampy Names of the Resoondente Hearing Site: Charlotte, North Carolina Synergy Investment Group, L.L.C. Jeffrey D. Jones Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For Gregory Hampy, hereinafter referred to as "Claimant": Douglas F. Stone, Esq., Law Of

Awsrd FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01553 Lester Victor Christiansen Names of the Resoondente Hearing Site: Boca Raton, Florida Amtrust Investment Services, Inc. Robert Chen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Lester Victor Christianson, hereinafter referred to as XIaimanf, appeared pro se. For Amtrust Investment

Stipulated Award FINRA Dfaputa Resolution In the Matter of the Arbftration Between: Name of the Claimant Case Number 08-02377 Dolores V. Gardella Names of the Respondents Hearing Site: Boca Raton, Florida Charies Schwab & Co.. Inc. Sean Bies Nature of the Dispute: Customer vs. Member and Associated Person. REPRESEWTATIQN OF PARTIES For Dolores V. Gardella, hereinafter refanad to as "Claimant": John D'Amato, Boca Raton, Florida. For Charl

AWARD FINRA Dispute Resolution in the Matter of the Arbitratton Between: Name of Claimant Katherine Knutson vs. Case Number: 07-02229 Hearing Site: Minneapolis, Minnesote Name of Respondent RBC Dain Rauscher, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Katherine Knuteon ("Claimanf) was represented by Joseph W. Anthony, Esq., Anthony Ostlund & Baer, PA, Minneapolis, Minnesote. RBC Dain Rauscher, Inc. (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-03051 Sylvia Vail Respondents Hearina Site: San Francisco, California Putnam Retail Management Limited Partner Domenic J. Accetta Nature of the Dispute: Customer vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimant Sylvia Vail hereinafter refened to as "Claimant": Sylvia Vail, In Pro Se, Tiburon, Califomia. Respondents, Putnam

Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01521 Robert Shepherd Name of the Respondent Hearing Site: Los Angeles, California Marshall J. Field Name of the Third-Party Claimant Marshall J. Field Name of the Third-Partv Respondente Emmett A. Larldn Company, Inc. and Southwest Securities, Inc. Nature of the Dispute: Customer vs. Associated Person Associated Person vs. Me

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-01839 Shannon C. Miller Respondents Hearing Site: Seattto. Washington WM Financial Services. Inc. Paul Chad Budnek Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Shannon C. Miller, hereinafter referred to as "Claimanf: Shannon C. Miller, Collins, Mississippi Respondente. WM Financial Servi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number. 08-00259 Jonathan A. Zarate Name of the Respondent: Hearina Site: Dallas, Texas Wells Fargo Investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Jonathan A. Zarate. hereinafter referred to as "Claimant": Jason A. Richardson, Esq., Shepherd Smith & Edwards L.L.P., Houston, Texas Respondent, Wel