Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-03886 Melinda J. Johnson Mitchell R. Johnson Respondent Hearing Site: Portland, Oregon Banc of America Investment Services, Inc. !. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Melinda J. Johnson and Mitchell R. Johnson, hereinafter collectively referred to as "Claimants": Terrance J. Slominski, Esq.,

stipulated Award FINRA Dispute Resoiutlon in the Matter of the Arbitration Between: Claimant Case Number: 09-03292 The RainMaker Financial Companies Pension Plan & Tmst, Joseph Forman and Nancy Fornian, TTEES Respondent Hearing Site: Los Angeles, California Wells Fargo investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. The RainMaker Financial Companies Pension Plan & Tmst, Joseph Fornian and Na

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03534 Raymond E. Hecl^ Names of the Respondents Hearing Site: New Orleans, Louisiana Parl< Avenue Securities LLC Kirk Kepper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Raymond E. Hecl< , hereinafter referred to as "Claimant," appeared pro se. For Respondent Park Avenue Securities LLC

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06146 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Raleigh, NC Sean Ruehl Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC ("Wells Fargo"), hereinafter referred to as "Claimant": Jonathan Levi

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: The Estate of John M. Frost, Richard 1. Scheyer, Executor and Jacqueline IVl. Frost (Claimants) vs. Royal Alliance Associates, Inc. and Michael D. Kresh (Respondents) vs. H.D. Vest Investment Services, Inc. (Third-Party Respondent) Case Number: 09-01735 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Customers vs. Member and Associated Person. Third-Pa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: National Financial Services, LLC (Claimant) vs. Stroud Capital Fund, LP, Stroud Capital Management, LLC, Stroud Capital OR, LLC, and John David Stroud (Respondents) Case Number: 09-05172 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers and Non-Members. REPRESENTATION OF PARTIES Claimant National Financial Services, LLC hereinafter referred to as "Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01782 Joanne Tweed Respondents Hearing Site: San Diego. Califomia UBS Financial Services Inc. Richard A. Mechikoff, Jr. Robert H. Gunning Mari< R. Swan Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Joanne Tweed, hereinafter referred to as "Claimant": Joanne Tweed, San Diego, Californ

AWARD FINRA Dispute Resoiutlon I n the Matter of the Arbitration Between: Names of Gteimants/Gounter-Respondents Larry Garon and Lori Garon vs. Name of Respondent/Counter-Claimant E*Trade Securities, LLC Case Number: 09-03574 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Larry Garon and Lori Garon, hereinafter collectively referred to as "Claimants," were represented by Mark S. Gr

STIPULATED AWARD FtNRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Edward Heet and Barbara Heet vs. Case Number: 09-02974 Hearing Site: St. Louis, Missouri Name of Respondent Wachovia Securities, Inc. NATURE OF THg DISPUTE Customers VS. Member REPRESENTATION OF PARTIES Edward Heet and Barbara Heet, hereinafter collectively referred to as "Claimants," were represented by Stuart R. Beri< owitz, Esq. La

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02072 Fae Gedz, Individually and as Trustee of The Fae Gedz Trust Revocable U/A (Claimants) vs. Charies Schwab & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Keith L. Griffin, Esq., Griffin Law Firm, LLC, Indianapolis, IN, For Respondent appeared Richard A. Karoly, Esq., Charies Schwab & Company, Inc., San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: l\/lay 3