Award FINRA DIeputo Reeoiutlon In the Matter of the Art)itration Between: Name of ttie Cteimant Case Number 09-03470 T. Hayes & D. Hayea TTEE Honolulu Professtonal Svcs LTD U/A DTD 05/01/2000 Name of the Respondent Hearing Site: Honolulu, Hawaii Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant T.Hayes & D. Hayes TTEE Honolulu Professional Svcs LTD U/A DTD 05/01/2000, hereinafter referred

Award FINRA Dteputo Resolution in the Matter of the Ari3itration Between: Name of the Cteimant: Case Number 09-00992 Jean Christopherson - Wall IRA Name of ttie Respondent: Hearing Site: Seattle, Washington Charies Schwab & Co., inc. Nature of the Dtepute: Customer vs. Memt)er REPRESENTATION OF PARTIES Claimant Jean Christopherson -Wall IRA, hereinafter referred to as "Clalmanf: David Gaba, Esq., Compass Law Group PLLC. Seattie. Washington.

Award RNRA Dteputo Reeoiutlon In the Matter of ttie Arbttratton Between: Name of ttie Claimante Case Number: 08-03904 Kathleen Pomeroy The Pomeroy Family Trust The Pomeroy Bypass Trust The Maritel Deduction Trust Name of ttie Respondent Hearing Site: San Francisco. Caiifomte Charies Schvrab & Co., Inc. Natore of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Cteimante, Ksttileen Pomeroy ("Pomeroy*), The Pomeroy Family Tru

Award RNR A Dtepute Reeohitlon In ttie Matter of ttie Aribttration Between: NamaofttiaCiaknant Case Number 08-04008 Darren Layne Meyer Name of ttie Raaoondent Hearing SHe: Denver, Cotorado Ameripriee Rnanclal Senrioee, Inc. Nature of ttie Dtepute: Aesocteted Person vs. Member REPRESEJfTATlQN OF PARTIES Cteimant Darren Layne Meyer, hereinafter referred to aa XteimantT: Peter A. Cantwett, Esq., Cantwell & (^antwell, Chicago, llllnote Reepon

Award HNRA Dtopirts Reeolutton in ttie Matter of the Arbitratton Between: plflimants Case Number 08-00049 Marie Atake PatAtoke f^Dondents Hearing Site: Los Anoelea. Califfomla Strasbourger Pearson Tuk:in WoHf, inc. Ijegend Merchant Group, Inc. ftondyPiekls Nature of the Dispute: Customers vs. Members and Assodaled Person REPRESENTATION OF PARTIES Claimants, Marie Atoke and Pat Atake hereinafter collectively referred to as "dalmante"

Award FINRA DItputo RMOlirtlon In the Matter of thB Arbitration Between: MflfiM of the Claimant Qw? NMffHW: 09-00755 GeneOaseeHe NameoftheRaapondenta Hearino Site: San Diego, Callfoniia Merrill Lynch, Pierce, Fenner & Smith, Ina, and Robert Michael Schuize Nature of the Diaputa: Customer vs. Member and Associated Person. REPRESEIfTATlOW OF PARTIES Claimant Gene Gassetehereinaftorrefoned to as Xlahnanf: Richard A. Nervlg, Esq. Richard A. N

Award FINRA DIsputo Resolution In the Matter of the Ari!}itration Between: Judith Paricer Zenowich (Claimant) vs. Citigroup Global Maricete Inc. (Respondent) Case Number. 08-00903 Hearing Site: New Yoric, New Yoric Natere of the Dispute: Asscx;iated Person vs. Member. REPRESENTATION OF PARTIES Claimant Judith Parker Zenowich hereinafter retemed to as "CiaimantT: Peari Zuchlewski. Esq., Kraus & ZuchlewskI LLP, New Yoric, NY. Respondent Citigroup G

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jean Dalisa (Claimant) vs. Ariene Quarante and Wachovia Securities, LLC f/k/a Prudential Securities Incorporated (Respondente) Case Number: 09-05655 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Customer vs. Customer and Memt>er REPRESENTATION OF PARTIES Claimant Jean Dalisa hereinafter refened to as "Claimant": Paul T. Vink, Esq., Paul T. Vink, PC, Brewster, MA.

Award FINRA Dteputo Reeolutton In ttie Matter of ttie Ariattration Between: Namasflf the Cteimante CflW NWllWC 09-00g74 Hantet Gate, as Trustee oftheHaniettGatoTnjst Inring Hante, as Tmstee of ttie Intog Hante Tnjst Name of ttie flesDondent Haarino Stte: Boca Raton. Florida Davreon James Securities, Inc. Nature of ttie Dispute: Customer vs. Member. REPRESENTATION OF PAHTIES For Harriet Gale, as Tnistee of the Hantett Gate Tois

Award RNRA Dtopute Reeolution In ttie Matter of the Arbttration Between: Nama of ttia Claimant CflW NtimlWH 07-02774 M. Eugente Jones Names of ttie Respondente Hearing Site: Atiante, Georgta WUilm Hudson Derinls Cavender Natere of the Dispute: Customer vs. Assodatsd Person. REPRESENTATION OF PARTIES M. Eugente Jones, hereinafter refened to as 'Cteimant," appeared pro se until the evidenttary heering. At the evidentiary hearing. Claimant w