Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Herbert and Dorthy Thiry Case Number: 07-01216 Name of the Resoondents Brookstreet Securities Corporation; Keevin Gillespie; Scott Lee Magallanes; Steve Skytte; and Robert E. Schultz Hearino Site: Albuquerque, New Mexico Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Herbert Th

Case Number: 09-05147 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Associated Persons REPRESENTATION OF PARTIES MAXXAM, Inc. ("Claimant" or"MAXXAM") was represented by Jack C. Nickens, Esq., McGuire Woods, LLP, Houston, Texas and Paul D. Flack, Esq., The Law Office of Paul Flack, Houston, Texas. Timothy Claude Ford ("Ford") and Kevin Douglas Laurie ("Laurie"), hereinafter collectively referred to as "Respondents," were represented by P

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edwin Christensen (Claimant) v. Rocco Mongelli, David Dube, and Peak Securities (Respondents) Case Number: 09-06914 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Edwin Christensen, hereinafter referred to as "Claimant": Richard D. DeVita, Esq., DeVita & Associates, Hoboken, NJ.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard A. Marin (Claimant) vs. Bany S. Burdick, as tmstee of the Barry S. Burdick Living Tmst, Rackley Inv. L.P., through its general partner, Clifford Rackley, Tall Trees, LLC, through its managing member, Ronald L. Greene, and Racetrac Petroleum, Inc. (Respondents) Case Number: 10-02603 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customers. R

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03355 Jeffrey R. Olson (Claimant) vs. Ralph Thomas Gannett and Cullum & Burks Securities, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Wisconsin Dells, Wl. Respondent Ralph Thomas Gannett appeared pro se, Madison, Wl. Respondent Cullum & Burks Securities, Inc., did not enter an appearance in this matter. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: July 23,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Robert J. Hernandez (Respondent) Case Number: 05-05634 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION QF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, LTD., Chicago, I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-00344 Curt W. Lehner Name of Respondents Hearing Site: Seattle, Washington Alpine Securities Corporation Clark Johnston Todd Lee Groskreutz Brian Reed Peterson Jeffrey Scott Peterson Jonathan Claric Peterson Robert Tew Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Cur

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimants Case Number: 09-05542 Arthur R. Cargill Maryann Cargill Cargill-Beacon Point, LLC Cargill-Manseli Plaza. LLC Respondents Hearing Site: San Francisco. California QA3 Financial Corporation James Robert Files Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Arthur R. Cargill, Maryann Cargill, Cargi

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 08-04477 Wells Fargo Investments, LLC Respondent/Counter-Claimant Hearing Site: Los Angeles, Caiifomia Gregory A. Ramirez Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent Wells Fargo Investments, LLC, hereinafter referred to as "We

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Grupo Intemacional De Asesores, S.A. Respondents Global Financial Services, LLP Ricardo Perusquia Jane Bates Eduardo Bustani Counter-Claimant Global Financial Services, LLP Counter-Respondent Grupo Intemacional De Asesores, S.A. Case Number: 08-02913 Hearing Site: Houston, Texas Nature of Dispute: Customer vs. Member and Associated Per