Award FINRA Dispute Resolution In the Matter of the Art)rtration Between: Name of Claimants Case Number: 99-04694 Suryakant D. Patel & Sushlla S. Patel Name of the Respondents Hearing Site: Phoenix, Arizona First Wall Street Corp.; Drew D.Chalmers; Charles P. Lazzaro and Bart)ara J. Ralston Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants. Suryakant D. Patel & Sushila S. Patel here

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number: 08-00539 Arun K. Chaudhuri Name of the Respondent Hearing Site: Los Angeles. Califomia Rod Gonzales; Jason R. Tellinghuisen; Richard Chun and Jeff S.Smith Nature of the Dispute: Customer vs. Associated Persons REPRESENTATION OF PARTIES Claimant Arun K. Chaudhuri: pro se, Rancho Palos Verdes, Califomia Respondents, Rod Gonzal

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Lany Stephen Wilbanks vs. Name of Respondent Hancock Securities Group. LLC Case Number: 08-04666 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Lany Stephen Wilbanks ("Claimanr) was pro se. Hancock Securities Group. LLC ("Respondent") was represented by Donald J. Mehan, Jr., Esq.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Maricets, Inc. vs. Case Number: 08-00670 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Peter W. Thompson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Maricets, Inc. ("Claimant" or "Citigroup") was represented by Kevin B. Walker, Esq., McElroy Deutsch Muivaney & Carpente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03052 Thomas E. Cusack Name of the Respondent Hearing Site: Washington. D.C. Charles Schwab & Co., inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas E. Cusack, hereinafter refered to as "Claimant": John P. Connolly, Esq.. Alexandria. VA. For Charles Schwab & Co.. Inc. ("Schwab"), hereinafter ref

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03042 Richard H. Ross J. Stephen Ross Names of the Respondents Hearing Site: Jackson, Mississippi E*Trade Securities LLC Chris Eriewine Curtis RItter Rod Webb Laura Crawford Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard H. Ross and J. Stephen Ross,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimaiit: Case Number: 07-01411 Steven Wierzba Name of the Respondent: Hearino Site: San Francisco, Califomia E*Trade Securities LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Steven Wierzba, hereinafter referred to as "Claimant": appeared pro se, Oakland, Califomia Respondent E*Trade Securities LLC, hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Artntration Between: Name of the Claimants: Case Number 08-00455 David L. Woods and Twila R. Woods, Taistees of The Woods Family Living Tnjst dated July 27,1998 Name of the Respondente: Hearing Site: Phoenix. Arizona Raymond H. Johnson Pinnacle Advisors Group, LLC WFG Investments, Inc. National Financial Services LLC Nature of the Dispute: Customers vs. Member, Non-Member, and Associated

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 08-01846 Janet Laird Respondent Hearing Site: Los Angeles, California Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Janet Laird, hereinafter referred to as "Claimant": H Thomas Fehn, Esq., Fields, Fehn & Shenvin, Los Angeles, California. Respondent, Charles Schwab & Co., Inc.. hereinaft

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 07-03377 Antonio M. Gonzalez Respondent Hearino Site: Los Angeles, Califomia Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Antonio M. Gonzalez, hereinafter referred to as "Claimant": Antonio M. Gonzalez, Los Angeles, California. Respondent, Charles Schwab & Co., Inc. hereinafter referre