Award FINRA Dteputo Reeoiutlon In the Matter of the Arbitration Between: £|aimaD& case Number 09-05536 Attired L Davenport, Jr., indlvkiualiy and as Co-Trustee of the A.L. Davenport Trust Nadine Ganley, as Co-Trustee of the A.L Davenport Trust and as AttomeyHn-Fact for A.L. Davenport, Jr. Respondente Hearino Stte: Los Angeles, Calttbmte UBS Finandai Servtees, Inc. DonaM L. Gorsch Bjom Hauerbach Edward Y. Tom UBS Bank USA UBS N

Award FINRA Dtepute Reeoiutlon In the Matter of ttie Arbttration Between: Claimant Case Number 09^762 Dan Schmeklter Respondent Hearing Stte: Los Angetes, Calttbmte Chariee Schwab & Co., Ina Nature of the Dtepute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Dan Schmekiter, hereinafter referred to as "Claimant": Pro Se, i-os Angeles, Caittbmta. Respondent, Cheries Schwab & Co., Ina, hereinafter referred to aa "Schwab" or "Re

Award FINRA Dteputo Resolutton In the Matter of the Aristtratton Between: Clalmante Case Number 09-00417 Scott C. Folln and Lorraine P. Folln, IndivkJually and as Trustees of The Folln Family Trust ResDoridente Hearing Stte: Porttand, Oregon Ronaki D. Tenteon Raymond James Finandai Services, Inc. Nature of the Dtepute: Customers vs. Member and Assodated Person REPRESENTATION OF PARTIES Clalmante, Scott C. Folln and Ljorraine P. Folln, ind

Award FINRA Dispute Resolution In the Matter of the ArtNtratlon Between: Name of the Claimant Mark Famsley Name off the Respondents Questar Capital Corporation Maximum Financial Group. Inc. Frank Julian Bluestein GunnAlien Financial, Inc. NamaofCroas-Clalmant GunnAllen Finandai, Inc. Name of Croas-ResDondent Questar Capital Corporatk>n Name of Cross-Claimant Questar Capital Corporation Name of Cross-Respondent GunnAlien Fi

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00110 Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Name of the Respondent Hearino Site: Salt Lake City, Utah Martin Johanna vanAmen Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC. hereinafter referred to as "Claimanf

Award FINRA DIeputo ReMMIon In the mMBf of the ArbitrBOon Between: Claimanfc fiasjjumbsn 09-01188 Anna Campbell Reanondania: HaarinaSita: San Frandeco, Caltfbmia GunnAllan Hnandal, ln& DonaU Raymond Dunakin, Nature of the Dispute: Cuslomarvs. Member and Asaociaiad Pareon REPRESENTATIOM OF PARTIES Claimant Anna Campbell, hareinanBr referred to as "ClaimanT: Thomas C. Bradley, Esq., Sinai, Schroedar, Moonay, Boetach, Bradley & Pace, Ren

STIPULATED AWARD FINRA Dteputo Resolution In the Matter of the Artattration Between: Name of Claimant Ite Mellul va. Caae Number 08-03976 Hearing Stte: Chicago, Illinoia Namea of Respondente M Holdings Securities, Inc. and Davkl Allan Marcus MATURE OF TOE DiaPUTg Customer vs. Member and Associated Person REPRESENTATION QF PARTIES Ite Mellul ("Claimant^ was represented by Lawrence A. Roaen, Eaq., Roaen & Associates, Hightend Paric,

AWARD FINRA DIaputo Reaolutlon In the Matter of the Arbttration Between: Name of Claimant Carol N. Halonen, Indivtoually and as Beneficiary of the Carol N. Halonen IRA vs. Case Number 10-00217 Hearing Stte: Minneapolis, MInnesote Name of Respondent Gerald Billte Gries NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Carol N. Halonen, Individually and as Benefidary of the Carol N. Halonen IRA, hereinafter

AWARD FINRA Dteputo Reaolutlon In ttie Matter of ttie Art>ttratton Between: Nanw of Cteimant Saengnakhom P. Cinq-Mara va. Caae Number 09-06471 Hearing Site: Mlnnaapolto, Minneaote NameofReapondent WeHa Fargo Invaabnente, LLC NATURE QF THE PISPUTE Associated Person va. Member RgPRgagMTATION QF PARTiea Saengnakhom P. Cinq-Mars fClaimanfO appeared pro aa. Wella Fargo Invesbnente, LLC ("Respondent") was represented by Renan Sugannan,

AWARD FINRA DIaputo Resofutlon In the Matter of the Arisibation Between: Namea of Claimante Anthony Fortune and Frances Fortune vs. Case Number 09-03970 Hearing Site: Deboit, Michigan Namea of Respondent^ Wachovia Securities, LLC and Craig Harrington MATURgQF THE DISPUTE Customere vs. Member and Associated Person REPRESENTATION QF PARTIES Anthony Fortune and Frances Fortune, hereinafter collectively refened to as "Claimante," were rep