Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Conroy and Kevin Brennan (Claimants) vs. James Maurer (Respondent) Case Number: 09-06625 Hearing Site: New Yorit, New Yoric Nature of the Dispute: Associated Persons vs. Associated Person. REPRESENTATION OF PARTIES Claimants John Conroy ("Conroy") and Kevin Brennan ("Brennan"), hereinafter collectively referred to as "Claimants" appeared pro se. Respondent James Maurer here

AWARD FiNRA Dtoputo Reaolution In the Matter of the Artsitration Between: Name of Claimant Summit Oalc, LLC vs. Case Number 09-03649 Hearing Site: Detroit, Michigan Names of Respondente Merrill Lynch, Ptorce, Fenner & Smith, inc. and Kenneth S. Jones MATURE OF THE DISPUTE Customer vs. Member and Assodated Person REPRESENTATION OF PARTIES Summit Oalc, LLC ("Claimanr) was represented by Ralph R. Safford, Esq., Safford & Baker, PLLC,

AWARD FINRA Dtoputo Reaolution In the Matter of the Arbibtrtion Between: Nanws of Claimante Donaki Bloss and Catharine Btoss vs. Naples of ResDorKiente Edward D. Jones & Co., L.P. and Edwin Chesney IHanrto Case Number 09-03841 Hearing Site: St. l-ouis, Missouri MATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESEMTATION OF PARTIES Donald Bloss ("DonaM") and Catharine Btoss fCatharine'^, hereinafltor coilectively re

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01582 David S. Le Munyon, Jr. (Claimant) vs. Wachovia Securities, LLC and Wells Fargo Advisors LLC (Respondente) REPRESENTATION OF PARTIES: Claimant appeared pro se, Atco, NJ. For Respondente appeared Kenneth J. Tumbuil, Esq., Morgan, Lewis & Bocklus LLP. New Yori«. NY. NATURE OF DISPUTE: Associated Person v. Members DATE FILED: March 31, 2010 CASE SUMMARY: Claimant asserted the following cause of action: e

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01373 Gary K. Maxwell (IRA) (Claimant) vs. Franklin Temptoton Financial Services Corp. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Ciianute, KS. For Respondent appeared David P. Goss, Esq., Franklin Templeton Investmente, San Mateo, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 18,2010 CASE SUMMARY: Claimant asserted the following cause of action: sales charge assesse

Stipulated Award FINRA Dtoputo Reaolution In the Matter of the Arbitration Between: Claimante Case Number 0M0203 Maureen T. Graf Robert Bulchis Respondente Hearing Sito: San Francisco, Califomia Charies Schwab & Co., Inc. Randall Meri( Natore of the Disputo: Customers vs. Member and Assodated Parson REPRE8ENTATI9N PF PAPTIH Claimante, Maursen T. Graf and Robert Bulchis, hereinafter collectively referred to as "Ctoimanto": Tanya Sacks,

Award FINRA DIaputo Resolution In the Matter of the Arisitration Between: Claimant Case Number: 09-04136 Maimoona Mirdad Respondent Hearing Stte: San Francisco, Califomia Wachovia Securities, LLC Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Maimoona Mirdad, hereinafter referred to as "Claimanf: Brett A. Alcala, Esq., Alcaia Law Firm, San Mateo, Caittbmia. Respondent, Wachovia Securities, LLC, hereinafter r

Award FINRA Dtepute Resolution In ttie Matter of ttie Art)ttraflon Betereen: Claimante Ifrach Family Living Trust #1 Ifrach FamHy Living Tmst #2 Shoshana Ifrach iRA Abraham Ifrach IRA Reapondente First Montauk Securities Corp. JP Turner & Company, LLC GunnAllen FInandal, Inc. IMaxxtrade, Inc. Shiomo S. Epibolm Epiboim, Poube & Co., Inc. Cresa-Ctolmant First IMonteuk Securities Corp. Crow-RWP9P^OTt Shiomo S. Epiboim

Award FINRA Dispiito Readutlon In the Matter of the Ariaitration Bebween: Cteimant Case Number 09-04990 Dr. John Alton Ramey, as an individual and as authorized repreaentative of Madrugada LP 4K and Ramey Company Profit Sharing DTD 1/4A)1 Respondente Hearing Stte: San Diego, Califomia J. Rodney Duckworth, Sr. J. Rodney Duckworth, Jr. UBS Financial Sennces Inc. Nature of the Dieputa: Customer vs. Member and Associated Persons RgPRESEMTATIO

Award FINRA DIsputs Resolution In the Matter ofthe Arbitration Between: Claimant Case Number: 09-01190 Lynell Miller Jones. IRA Rollover Respondents Hearing Site: San Francisco, California Charies Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Lynell Miller Jones, IRA Rollover, hereinafter refsned to as "Claimanf: Thomas D. Maurieilo, Esq., Mauriello