AWARD FINRA DISPUTE RESOLUTION CASE: 10-04238 Farhad Shahidi (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Irvine, CA. For Respondent appeared John Erickson, Esq., Los Angeles, CA and Hollie M. Mason, Esq., TD Ameritrade, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 22, 2010 CASE SUMMARY: Claimant asserted the following cause of action: negligence. The cause of actio

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04702 Wells Fargo Advisors, LLC (Claimant) vs. Michael Sonnichsen (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared David J. Hase, Esq., Cook & Franke S.C, Milwaukee, Wl. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 19, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05133 Theodore Booher and Dianne Booher, as Trustees of the Theodore R. Booher Living Trust U/A dated 3/25/2002 (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Thomas F. Shine, Esq., Indialantic, FL. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 8,

Award FINRA Dispute Resolution In the Mafter of the Arbitrafion Between: Name of the Claimant Case Number: 10-01895 Arthur Warburton as Trustee of the Arthur Warburton Revocable Living Trust U/A DTD 2/10/89 Name of the Respondent Hearing Site: Boca Raton, Florida Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Arthur Warburton as Trustee of the Arthur Warburton Revocable Living Trus

Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Name ofthe Claimant Case Number: 09-04352 Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Mitchell T. Yanow Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Todd Ratner,

Award FiNRA Dispute Resolution In the Mafter ofthe Arbitration Between: Names of the Claimants Case Number: 09-02906 Jay Raubvogel M. Raubvogel Co., Inc. Trust Seymour Raubvogel Name of the Respondent Hearing Site: Boca Raton, FL Credit Suisse Securities (USA) LLC d/b/a Credit Suisse Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jay Raubvogel, M. Raubvogel Co., Inc. Trust, and Seymour Raubvogel, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02468 Carmen Rivera-Babin Names of the Respondents Hearing Site: San Juan, Puerto Rico UBS Financial Services incorporated of PR R-G Investments Corporation Name of the Third Partv Respondent Roberto J. Alfonso Rivera Nature of the Dispute: Customer vs. Member vs. Customer. REPRESENTATION OF PARTIES For Carmen Rivera-Babin, he

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Claimant Case Number: 10-01590 Mary Jo Broomfield Respondents Hearing Site: Portland, Oregon Suanne Jones American Independent Securities Group, LLC Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Mary Jo Broomfield, hereinafter referred to as "Claimant": Robert A. Graham, Jr., Esq., Law Offices of Robert A. Graham, Jr.

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Claimant Case Number: 09-05006 John Dailey Respondents Hearing Site: San Francisco, California Charies Schwab & Co., Inc. Randall Merk Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, John Dailey, hereinafter referred to as "Claimant": Inwin G. Stein, Investors Recovery Service, Novate, California. Respondents, C

stipulated Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-01741 Wells Fargo Investinents, LLC Name of Respondent/Counter-Claimant Hearing Site: San Francisco, California David S. Gillimore Nature of Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo Investments, LLC, hereinafter referr