Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ciaimant Case Number: 08-02495 Smith Bamey Respondents Hearing Site: San Francisco, Califomia Jennifer Davis and Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Member vs. Associated Peraon and Member REPRESENTATION OF PARTIES Claimant. Smith Bamey, hereinafter referred to as "Claimant": Jim Wright, Esq. and Erin Welsh, Esq., Buchalter Neme

Award FINRA Dispute Resolution In the Matter of the Arbitratton Between: Claimant Case Numt)er 07-02628 Evan S. Bedell Respondents Hearing Site: Las Vegas, Nevada Silver Pacific Advisors, LLC and Viney K. Singal Counter-Claimants Silver Pacific Advisors. LLC and Viney K. Singal Counter-Respondent Evan S. Bedell Nature of the Dispute: Associated Person vs. Member and Associated Person Member and Associated Person v. Associated Per

AWARD FINRA Dispute Resolution in the Matter of the Ari3itration Between: Claimant: Case Number: 05-05165 Edward G. Marteli Respondents: IHearinq Site: Los Angeles, Califomla Financial Advisors Network. Inc. Calvin C. Garvin Rod IH. Kamps Counter-Claimants: Financial Advisors Network, inc. Calvin C. Garvin Rod IH. Kamps Counter-Respondent: Edward G. I\1artell Nature of the Dispute: Associated Person v. Non-Member and Associat

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 08-00328 Banc of America Investment Services, Inc. Respondent Hearing Site: Houston, Texas William T. Rexrode Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Ciaimant, Banc of America Investment Sen^ices, Inc. hereinafter referred to as "Claimant": Thomas Voitz, Esq.. Kane & Fischer, Chicago, Illinois. Respondent, Will

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number: 08-00213 Kamiar Saeedian Name of the Respondent: Hearina Site: Denver, Colorado TO Ameritrade. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Kamiar Saeedian, hereinafter refenred to as "Claimant": Pro Se. Denver, Colorado Respondent, ID Ameritrade, inc., hereinafter referred to as "Respondent": James J. Vih

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 07-01383 Wells Fargo Investments, LLC Respondent Hearing Site: San Francisco, Califomla Krittibas Ray Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investments. LLC ("Wells Fargo"), hereinafter referred to as "Claimant": Gregory B. Simon, Esq., Kane & Fischer, Ltd., Chicago, Illinois

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant Case Number: 06-04178 AIG Financial Advisors, inc. Respondents Hearing Site: Reno, Nevada James B. Yim, Milton Champion, and Phyllis Champion Nature of the Dispute: Member v. Associated Person and Customers REPRESENTATION OF PARTIES Claimant AIG Financial Advisors, Inc., hereinafter referred to as "Claimant": Janet Weinstein, Esq.. Fennemore Craig, P.C., Phoeni

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David C. Klink, H. Peter Weiss, and Daniel M. Maria Cui (Claimants) vs. Sloan Securities Corp. (Respondent) vs. Harry Friedman (Third-Party Respondent) Case Number: 07-91788 Hearlna Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants David C. Klink ("Klink"), H. Peter Weiss ("Weiss"), and Daniel M. Maria Cu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Andrew Garrett, Inc. (Claimant) vs. Lester Wackernah (Respondent) Case Number: 07-03138 Hearino Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Andrew Garrett. Inc., hereinafter referred to as "Claimant": Barry M. Bordetsky, Esq., Law Offices of Barry M. Bordetsky, Mineola, NY. Respondent Lester Wackernah hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Paul B. Marinucci, Michael P. Marinucci and Joseph P. Marinucci (Claimants) vs. Fidelity Brokerage Services, LLC (Respondent) Case Number: 07-02695 IHearina Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Paul B. Marinucci ("P. Marinucci"). Michael P. Marinucci ("M. Marinucci"), and Joseph P. Marinucci ("J. Marinucci