Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Wells Fargo Advisors, LLC vs. Respondent Irene Faye Maxwell Case Number: 11-02428 Hearing Site: San Francisco, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, ("Claimant"): Stephen D. Burns, Esq., Fiore & Levine, PLLC, Arlington, Virginia. Respondent Irene Faye Ma

Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Claimant Mark Feldberg Separate Property Trust vs. Respondent GBS Financial Corp. Case Number: 10-05661 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Mark Feldberg Separate Property Trust, hereinafter referred to as "Claimant": Mark Feldberg, Carmel, CA. Respondent, GBS Finan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Catherine Irene Pinkas Respondent LPL Financial, Inc. n/k/a LPL Financial LLC Case Number: 10-04235 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Catherine Irene Pinkas ("Claimant"): John Fu. Esq.. Law Offices of John Fu. Burbank. California. Respondent LPL Financ

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Claimants Margaret Harrison Ian Harrison Harrison Family Trust vs. Respondent Wells Fargo Investments. LLC Case Number: 09-05113 Hearing Site: Los Angeles. California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Margaret Harrison, Ian Harrison, and Harrison Family Trust, hereinafter collectively referred to as

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant/Counter-Respondent Dudley H. Pepp vs. Respondents/Counter-Claimants Alliance Bernstein Investments, Inc. Bertrand Ira Ginsberg Russell Lane Grossman Sandra Shearouse Morelli Sanford C. Bernstein & Co., LLC Case Number: 08-04776 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Members and Associated Persons REPR

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Claimant Kenji Higuchi Case Number: 09-06530 vs. Respondents Hawthorne Advisory Group, LLC William David Heiden, Jr. Sammons Securities Company, LLC Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimant Kenji Higuchi, hereinafter referred to as "Claimant": M

Award FINRA Dispute Resolution In the Matter of the Arbitration BehA^een: Claimants Charles J. Young DDS Inc. PSP Charles J. Young, DDS vs. Respondents Newport Coast Securities Gordon Patrick Carison Case Number: 09-06463 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Charles J. Young DDS Inc. PSP and Charles J. Young, DDS, here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00168 Class Action Watch, a non-profit foundation, Jerry L. Davidson and Kathleen M. Davidson, individually and as Trustees of the Davidson Family Trust, Chris K. Williams and Deborah J. Williams, individually and as Trustees of the Williams Family Hearing Site: San Francisco, California Trust, and David Beecham and Jessie Beecham, indivi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 11-01551 Eileen B. Cohen and Allen A. Cohen JTWROS vs. Respondent Hearinq Site: Reno, NV E*Trade Securities LLC Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Eileen B. Cohen and Alien A. Cohen JTWROS ("Claimants"): Marvin T. Bornstein, Esq., Bornstein & Smith, Hollywood, FL. Respondent E*Trade Securi

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Claimant Case Number: 10-02759 Saadeh Corporation Respondent Hearing Site: San Francisco, California Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Claimant, Saadeh Corporation, hereinafter refen^ed to as "Claimant": Richard M. Osb