Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 10-01188 Valerie Charlton Char Devron H. Char Name of the Respondent Hearing Site: San Francisco, California Charles Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Valerie Charlton Char and Devron H. Char, hereinafter collectively referred to as "Claimants": Devron H. Char, San Fr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06555 Robert N. Stephens Living Trust Name of the Respondent Hearing Site: Los Angeles, California UnionBanc Investment Services, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES • « Claimant, Robert N. Stephens Living Trust, hereinafter referred to as "Claimant": Montgomery G. Griffin, Esq., Law Offices of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03471 Steve R. Fraser Name of the Respondent Hearing Site: Los Angeles, California Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Steve R. Fraser, hereinafter referred to as "Claimant": John Gulino, Esq., J. Gulino Law Offices, Anaheim Hills, California. Respondent, Wachovia

AWARD flHRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John H. Bailey, as Trustee and on Behalf of the Henry Gordon Bailey, Jr. Living TR U/A 9/19/97 and the H. Gordon Georgia Lee Bailey Chart Remain Unitrust U/A 2/5/98 vs. Case Number: 09-00410 Hearing Site: Columbus, Ohio Names of Respondents WRP Investments, Inc., William Richard Pintaric, David Michael Pintaric, and William Richard Pintaric,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Glenn W. Coriiss vs. Case Number: 09-06332 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent ceo Investment Sen/ices Corp. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Glenn W. Coriiss ("Claimant" or "Coriiss") was represented by Brian J. Sommer, Esq., Meyer, Unl^ovic & Scott, LLP, Pittsburgh, Pennsylvania. ceo

AWARD FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Ann Harris vs. Case Number: 09-04441 Hearing Site: Detroit, Michigan Names of Respondents Charies Schwab & Co.. Inc., Adam Matthew McCausland, and Terrance Michael Turpin NATURE OF THe PISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Ann Harris ("Claimant" or "Harris") was represented by Invin Stein, Investors Rec

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas A. Grant and Mary Stuart Mclntire vs. Case Number: 09-05472 Hearing Site: Houston, Texas Names of Respondents AFS Brokerage, inc., Evolve Securities. Inc., First Midamerica Investment Corporation, John Edward Sprague, and Sprague Capital Management Group, LLC and Name of Cross-Claimant John Edward Sprague vs. Names of Cross-R

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Duane Stoipe and Sheiia Stoipe, Duane Stoipe and Sheiia Stoipe. Beneficiaries of the Stoipe Charitable Remainder Unitrust, Duane Stoipe. IRA, Stoipe Family Limited Partnership, Stoipe Management, Inc., and Stoipe Charitable Remainder Unitrust vs. Case Number: 09-01871 Hearing Site: Minneapolis, Minnesota Names of Respondents RBC Capital Mar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael J. Bergin (Claimant) vs. David Restivo (Respondent) Case Number: 09-05936 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Michael J. Bergin, hereinafter referred to as "Claimant": Andrew Small, Esq., A. Bruce Small PLLC, New York, NY. Respondent David Restivo, hereinafter referred to as "

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03429 Wells Fargo Advisors, LLC Vk/a Wachovia Securities, LLC (Claimant) vs. Stephen Giella (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Nicole E. Stadelmaier, Esq., Fiore & Levine, PLLC, Ariington, VA. Respondent appeared pro se, Lincolnton, GA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 22, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of