Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carlo E. Russell (Claimant) vs. Merrill Lynch Pierce Fenner & Smith (Respondent) Case Number: 07-01122 Hearinq Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Carlo E. Russell, hereinafter referred to as "Claimant" appeared pro se. Respondent Merrill Lynch Pierce Fenner & Smith, hereinafter referred to as "Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Louis R. Rosenwein a/k/a Louis R. Rose, Meredith Reich Rosenwein, Individually and as Trustee of certain Trusts for the benefit of Robert Lee Rosenwein and Jordan Nathan Rosenwein, as Co-Trustee of a certain Trust for her benefit, and as Custodian for Robert Lee Rosenwein, under the Uniform Transfers to Minors Act, Florence Rosenwein, Sari Rosenwein, Individually, and as Custodian for

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Wells Fargo Investments. LLC. Claimant v. Nelvine A. Ocampo. Respondent Case Number: 06-05354 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant / Counter-Respondent Well Fargo Investments. LLC (hereinafter referred to as "Claimant"): For Respondent / Counter-Claimant Nelvine A. Ocampo (her

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Citigroup Global Markets Inc., Claimant v. Mitchell R. Jesse, Respondent Case Number: 06-04912 Hearinq Site: Reno, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian C. Free, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Mitchell R. Jesse ProSe Reno, Nevada CASE INFORMATION S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Cans, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 07-00223 Hearinq Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Robert D. Mitchell, Esq. Julie M. Beauregard, Esq. Mitchell & Forest Phoenix, Arizona For Respondent: Joseph L. Hood, Jr., Esq. Scott, Hulse, Marshall,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sandra Murray, Individually and as Trustee of the Charles Gordon Murray and Sandra Murray Living Trust dated 9-26-95, Claimants v. Bear, Stearns Securities Corp., A.G. Edwards & Sons, Inc., Andrew J. Fairchild, PMG Securities Corporation and Ronald S. Kabat, Respondents Case Number: 03-02289 Hearing Site: San Francisco, Califomia Nature of the Dispute: Customers vs. Members and Ass

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05183 Linda Hale Name of the Respondent Hearinq Site: Boca Raton, Florida optionsXpress, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Linda Hale, hereinafter referred to as "Claimant": Neil B. Solomon, Esq., Neil B. Solomon, P.A., Jupiter, Florida. For optionsXpress, Inc., hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04598 SunTrust Banks, Inc. SunTrust Capital Markets, Inc. SunTrust Investment Services, Inc. Name of the Respondent Hearinq Site: Atianta, Georgia Fredrick M. Ross Nature of the Dispute: Non-Member and Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Banks, Inc., SunTrust Capital Markets, Inc., and SunTrust Inve

STIPULATED AWARD FINIRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant/Counterclaim Respondent Peter W. Connelly vs. Case Number: 06-02006 Hearing Site: Kansas City, Missouri Names of Respondents/Counterclaim Claimants Casimir Capital, L.P., Wayde C. Walker, and Nathaniel R. Clay NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Peter W. Connelly ("Claimant") was

Award FINRA Dispute. Resolution In the Matter of the Arbitration Between: Patrick C. and Eleanor C. Welch, as trustees of the Welch Family Trust dated 10/31/91, Claimants v. E-Trade Securities LLC, Respondent Case Number: 07-00056 Hearinq Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Chris Rolin, Esq. Patrick C. Welch Westiake Village, California For Respondent: John Ber