FINRA Awards for Kenneth Ro

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
09-07182	09/11/2013	Claimant(s): Bernard Reznick, Betty Feurring, Brian Schmier, Brian Wynn, Bruce Bartley, Charles Marqusee, Douglas Feurring, Ellen Schmier, Emily Feurring, Helga Marqusee, Jamie Rosemurgy, Linda Schmier, Michal Utterback, Robert Schmier, Ross Feurring, Sam Lee, Sonya Utterback, Feurring Family Limited Partnership, 3 Schmiers Investment Trust LLC, Douglas R. Feurring Revocable Trust, et al Claimant Lawyers(s): Gary A. Praglin Respondent(s): Bruce Treitman, Christopher Frank, Deutsche Bank Securities., Henry Persons, Jon Javellana, Kenneth Ro Respondent Lawyers(s): Jason R. Lindsay, Mark Parmelee, Paul J. Schumacher, Toby Soli, William D. Briendel Arbitrator(s): James R. Duncan, Neil S. Jasper, Ralph B. Perry Hearing Site: Los Angeles, CA		$180,000
11-02442	10/02/2012	Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Angelina Chew Respondent(s): Jon Javellana, Kenneth Ro, Barclays Capital Inc. Respondent Lawyers(s): Christopher A. Stecher, Naki Irvin Arbitrator(s): Robert A. Lombardi, Eric Gad Forster, Ara Kassabian Hearing Site: Los Angeles, CA