AWARD FINRA Dtepute Reeolution In the Matter of the Ariaitration Between: Names of Claimante Michael Sadowski and Carolyn Sadowski vs. Case Number 07-03619 Hearing Site: Detroit, Michigan Names of Resoondente GunnAllen Finandai, Inc., Frank J. Bluestein, Maximum Financial Group, Inc., and F.F., Inc. NATURE OF THE DISPUTg Customers vs. Member, Non-Members, and Associated Person REPRESENTATION OF PARTIES Michael Sadowski and Carolyn Sad

AWARD FINRA Dispute Reeolution In the Matter of the Ari3itration Between: Name of Claimant Donald W. Russell, Individually and as Trustee of the Donald W. Russell Living Trust vs. Case Number 08-00612 Hearing Site: Detroit, Michigan Names of Resoondente GunnAllen Financial, Inc., Questar Cepltal Corporation, Franic J. Bluestein, and Maximum Financial Group, Inc. and Name of Cross^iaimarrt/Cross-Respondent GunnAllen Financial, Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch, Pierce. Fenner & Smith, Inc. vs. Case Number 09-05543 Hearing Site: Detroit, Michigan NameofRegoondent Brent Haag MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, inc. ("Meniii Lynch" or "Claimant") vras represented by Edward G. WInsman, Esq., Rubin, Fortunate & Har

Award FINRA Dispute Resolution In the Matter of the Art^itration Between: Nicholas Spencer Reeve indivkluaily and on behalf of Prostar 2000 (Claimants) vs. Granta Capital Group LLC, Michael Ronald Passero, Ross H. Mandell, Robert Lewis Goss, and Stephen William Shea (Respondents) Case Number 09-02329 Hearing Site: New Yoric. New Yoric Nature ofthe Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Nicholas Spencer Reeve ("

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00404 Aberth (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Marvin S. Goldstein, Ph.D., Atlante. GA. For Respondent appeared Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Francisco. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 25, 2010 CASE SUMMARY: Claimant asserted the following causes of action: negligence and Improper l

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00219 Charies B. Stoveicen (Claimant) vs. William H. Medlin, Equity Concepte, L.L.C., and Sanders Morris Harris Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Prince George, VA. For Respondents appeared John T. Unger, Esq., Sanders Morris Harris Inc., Houston, TX. NATURE OF DISPUTE: Customer v. Associated Person, Non-Member, and Member DATE FILED: January 16. 2010 CASE SUMMARY: Clai

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07167 Sadasiva Seshagiri Rao Rayavarapu (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Scudder G. Stevens. Kennett Square, PA. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Inc.. Omaha. NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 23, 2009 CASE SUMMARY: Claimant alleged a monetery loss as a result of Respondent's failure to iden

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07116 David J. Foster on behalf of the David J. Foster Charles Schwab & Co., Inc., Custodten IRA Contributory (Claimant) vs. Charies Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES; For Claimant appeared David P. Meyer, Esq., David P. Meyer & Associates Co., LPA, Columbus, OiH. For Respondent appeared Sean B. Meehan, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. M

Award RNRA Dteputo Reeolutlon In the Matter of the Art)itaatton Between: SUmaolS Caae Number 08-04499 AmeWautera Camilla f^ers Suzanne Rogera Special Needs Trust Respondente Hearino Site: San Francisco, Caiifomte White Pacific Securittea, ln& Pabk:kS.Nei8on EricW.Groth M. Sean McCandtese Robert T.Angte PeiteeLIu Arthur M.Qutotero Natore ofthe Dteputo: Customers vs. Member and Aaaodated Peraons REPRESENTATION OF PARTIES

A¥nrd FINRA Dteputo Readution In ttie Matter of the Arbibation Between: Cteimant Caae Number 10-00503 Wells Fargo inveatmente, LLC RasDondent Hearing Site: Reno. Nevada Timothy Neal Harlman Natore ofthe Dispute: Member vs. Associated Person REPRKEMTATWN QF PARTIK Claimant V\tells Fargo Investmente. LLC. hereinafter refened to aa 'WMIs Fargo' or "Claimanr: Timothy N. WHI, Esq., Albert & WiU. LLP, Tonanoe. Caiifomte Respondent, Timothy Neal