Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward D. Jones & Co., L.P. (Claimant) v. George Turak (Respondent) Case Number: 10-00422 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Edward D. Jones., L.P., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner& Schmidt, L.L.C, Cranford, NJ. Respondent George Turak hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kenneth J. McKenna (Claimant) vs. Reid and Associates LLC, West Rock Advisors, Inc., and Mark Carmen Casolo (Respondents) Case Number: 09-06134 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Kenneth J. McKenna hereinafter referred to as "Claimant": Joseph A. Granich, Esq., Flint & Granich, PLLC,

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Case Number: 10-01667 Wells Fargo Advisors, LLC Name of Respondent Hearing Site: Reno, Nevada Michael William Adams Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Law Offices of Renan 1. Sugarman, Chicago, Illinois. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-00013 Roee Kraemer Name of Respondents Hearina Site: Los Angeles, Califomia Private Asset Group, Inc. Burice Ambrose Dambly Daryl Marc Holzberg James Mattiiew Walsh Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Roee Kraemer, hereinafter referred to as "Claimant": Pro Se, Lake For

Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Name of Claimant Case Number: 09-07184 David Parri Name of Respondent Hearina Site: Phoenix, Arizona Wells Fargo investments, LLC Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, David Parri, hereinafter refen-ed to as "Pam" or "Claimant": Mark D. Lammers, Esq., DeConcini McDonald Yetwin & Lacy, Tucson, Arizona. Respondent, Wells Fargo Inve

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chariie Johnson vs. Name of Respondent Citigroup Global Markets. Inc. Case Number: 08-03623 Hearing Site: Indianapolis. Indiana NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program / Majority Public Panel REPRESENTATION OF PARTIES Chariie Johnson ("Claimant") was represented by Steven Caruso, Esq., Mari< Maddox, Esq., and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Juanita H. Malone Cooper, Thomas Thompson, Michael C. Thompson. Valerie Thompson. Heather Thompson Hietpas. Lauren Thompson, Gary J. Siller, and Leslie A. Siller vs. Case Number: 08-03844 Hearing Site: Houston, Texas Names of Respondents Morgan Keegan & Company, Inc., Allen B. Morgan, Jr., Archie W. Willis, III, J. Thompson Welter, Charies D. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gerard T. Bannan and Concetta O. Bannan (Claimants) vs. Morgan Stanley Smith Bamey, Citigroup Global Markets, Inc. d/b/a Smith Barney, Inc., and Arthur E. Jones, Jr. (Respondents) Case Number: 09-06134 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Gerard T. Bannan ("G. Bannan") and

Award FINI^ Dispute Resolution In the Matter of the Ariaitration Between: Name of Claimant Case Number: 10-03518 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent Hearina Site: Los Angeles, Califomia Danny H. Vivian Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter refenred to as "Wells Fargo" or "Claimant": Tim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05158 Lynda Adee Name of Respondents Hearina Site: San Francisco, California Wachovia Securities, LLC Wachovia Securities Financial Network Wells Fargo Advisors, LLC Thorolf B. Teigen Wells Fargo Investments, LLC A.G, Edwards & Sons, Inc. Nature of Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES