FINRA Awards for Cecilia Johnson

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
08-02281	05/13/2009	Claimant(s): Alan Bonebrake, Cecilia Johnson, Chrisenda Smith, Clarence Koester, Claretta Royal, Colleen Schreiter, Personal Rep, Deroy Harshman, Dona Brungardt, Donald Bremer, Donna Gress, Donna Jacobson, Duane Madison, Dwayne Witt, Elaine Heng, Erma Barrett, Esther Schnitzer, Faith Eyman, George Stukenholtz, Gerald Royal, Helen Ladd, et al Claimant Lawyers(s): J. L. Spray Respondent(s): Donald Beary, James Stanfield Respondent Lawyers(s): Patrick B. Griffin Arbitrator(s): Richard M. Duxbury, Frederick B. Anderson, Thomas J. Pleiss Hearing Site: Omaha, NE		$10,290,000
07-00905	08/05/2008	Claimant(s): Cecilia Johnson, Leslie D. Roos Trust, Ruby S. Roos Trust Claimant Lawyers(s): J. L. Spray Respondent(s): Brian Schuster, Wachovia Securities, Capital Growth Financial Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs, Todd Ratner Arbitrator(s): Robert L. Agusto, Jonathan B. Gilbert, Elayne Morgan Hearing Site: Omaha, NE		$680,260