Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00605 Christopher Moore Name of the Respondent Hearino Site: Memphis, Tennessee Saxony Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Christopher Moore, hereinafter refened to as "Claimant": Scott T. Beall, Esq., Law OfTices of Scott Beall, P.A., Memphis, Tennessee. For Saxony Securities

Award FINRA Dispute Resolution In the Mattere of the Arbttration Between: Name of the Claimants: Phillip C. Linwick and Sara Linwicic, Communtty Property Name of the Respondent: RBC Capttai Markete Corporation dA>/a RBC Daln Rauscher n/k/a RBC Weatth Management Case Number 09-01554 Hearing Stte: Seattie, Washington Nature of the Dispute: Customere vs. Member REPRESENTATION OF PARTIES Claimants Phillip C. Linwick and Sara Linwick, Comm

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-04646 H. Roaric & Associates, Inc. Respondent Hearing Site: Reno, Nevada PowerChem LLC Counter-Claimant PowerChem LLC Counter-Respondent H. Roaric & Associates, inc. Nature of the Dispute: Member vs. Customer Customer vs. Memt)er REPRESENTATION OF PARTIES Claimant/Counter-Respondent, H. Roaric & Associates, Inc., hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Marie Bowman Respondente Wells Fargo Investmente, LLC U.S. Bancorp Investmerrte, Inc. Case Number 07-03161 Hearing Sfte: Denver, Colorado Nature of the Dispute: Associated Pereon vs. Membere REPRESENTATION OF PARTIES Claimant, Marie Bowman, hereinafter referred to as "Claimanf: Marie J. Appleton, Esq., Moseley, Busser & Appleton. Denver, Colorado and Otto K.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 09-01512 David Wolteon Living Tmst UAD 4/2/90 Name of the Respondente: Hearing Site: Los Angeles. Caiifomia Stockcross Financial Sen^ices, Inc. Thomas B. Cooper Peter L. Boom Nature of the Dispute: Customer vs. Member and Associated Pereons REPRESENTATION OF PARTIES Claimant. David Wolfson Living Trust UAD 4/2/90. hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-03249 Felton A. Ferrini Living Tnjst Respondente Hearino Site: San Francisco, Carrfomla RBC Capitel Markete Corporation Harry Edward Fischer Nature of the Dispute: Customer vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimant, Felton A. Fenini Living Tmst, hereinafter refened to as "Claimant": Roger B. Frederickson, Esq., Sinshe

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number 09-00378 Vasu D. Arora Respondente Hearing Site: San Francisco, California TD Ameritrade, Inc. Joseph Hugh Moglia Nature of the Dispute: Customer vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimant, Vasu D. Arore, hereinafter referred to as "Claimant": Vasu D. Arora, San Jose, Caiifomia. Respondents, TD Ameritrade, inc. ("TD

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimante Case Number 08-03742 Amold P. Jonas and Emma M. Jonas Respondente Hearing Site: Los Angeles, Califbmia WM Financial Services, Inc. Robert G. Fogarty AIG Annuity Insurance Company Nature of the Dispute: Customere vs. Member, Associated Pereon and Non-Member REPRESENTATION OF PARTIES Claimante, Arnold P. Jonas and Emma M. Jonas, hereinafter collectively refe

Award FINRA Dispute Resolution In the Mattera of the Art)itrations Between: Name of the Claimants: Keith M. Goldstein Marie F. Augusta Dennis A. Contrestano Cydney I. Crampton Patrick G. Howell Anthony W.Ross Thomas W. Van Dyck Michael P. Swenson Jack R. Swenson Ronald M. Daly Steven K. Chariston Bamey J. Cohen Bradley C. Fisher Stephen C. Hlrd Davki J. Lehrer Michael A. Luby, Jr. Michael D. Pattereon Scott

AWARD FINK^ DIsputs Resolution In the Matter of the Arbitration Between: Name of Claimant Steven R. Sorensen vs. Name of Respondent Citigroup Global Maricets, inc. d/b/a Smith Bamey Case Number: 09-00196 Hearing Site: Omaha, Nebrasl< a NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Steven R. Sorensen ("Claimant") was represented by Richard P. Jeffries, Esq., Cline, Williams, Wright, Johnson & Oldfather