AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Herold Family Living Trust, Cletus Herold, Trustee vs. Case Number: 08-04772 Hearing Site: Des Moines, Iowa Name of Restx)ndent E*Trade Securities LLC Customer vs. Member mON OF PARTIES Herold Family Living Tmst ("Claimant") was represented by Cletus M. Herold, Trustee. E*Trade Securities LLC ("Respondent") was represented by John Bersin, Esq., E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00270 Jack Olln Robeson Contributory IRA Name of the Respondent Hearing Site: Memphis, Tennessee Charles Schwab & Co.. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jacic Olin Robeson Contributory IRA, hereinafter referred to as "Claimant": James A. Dunlap, Jr., Esq., James A. Dunlap & Associates, LLC,

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04333 Robert W. Baird & Co.. Inc. Names of the Respondents Hearing Site: Fort Lauderdale, Florida Robert S. Gesdorf Bradford K. Marshall Thomas M. Palmer Shelagh M. Stewart Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Robert W. Baird & Co.. Inc., hereinafter referred to as "Claiman

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02658 Ralph H. Ritter and Viola M. Ritter (Claimants) vs. Anita Opiotrik and Neil McCall (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se., Nixa. MO. For Respondents appeared Harper Fertig, Esq.. Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customers v. Associated Persons DATE FILED: May 7. 2009 CASE SUMMARY: Claimant asserted the following causes of action: failure to sup

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Wachovia Securities. LLC vs. Case Number: 09-02554 Hearing Site: Chicago, Illinois Name of Respondent Don Steriovsid MATlJRg OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugamrian, Esq.. Renan Sugarman, P.C.. Chicago, Illinois. Don SteriovskI ("Respond

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James M. Jones vs. Name of Respondent TD Ameritrade, Inc. Case Number: 08-03614 Hearing Site: Dallas, Texas NATURE OF THE DISPUTE Customer vs. Member James M. Jones ("Claimant") appeared pro se. TD Ameritrade, Inc. ("Respondent") was represented by James J. Vihstadt, Esq. The Statement of Claim was filed on or about October 3, 2008. The Submissio

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03710 Financial West Group (Claimant) vs. Walter Allen Ellis (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert Creaser, Financial West Group, Thousand Oaks. CA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 22, 2009 CASE SUMMARY: Claimant alleged that Respondent owes commissions paid as a result of rescinded annuity cont

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03005 Michael Dortheimer (Claimant) vs. Kabrik Trading, LLC and James Conlin (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se. New York. NY. For Respondents appeared Andrew J. Goodman. Esq.. Gan/ey Schubert Barer, New York, NY. NATURE OF DISPUTE: Associated Person v. Member and Associated Person DATE FILED: May 27. 2009 CASE SUMMARY: Claimant asserted the following causes of action: commissions

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02795 Phyllis M. Mossman (Claimant) vs. Wells Fargo Investments, LLC and Michael Hampton (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sacramento, CA. For Respondents appeared Vanessa Hoffman, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 15, 2009 CASE SUMMARY: Claimant asserted the following causes of

Award Data Award: $8,000.00 Pre-judgment Interest: at the rate of six percent (6%) per annum from September 19, 2008 to November 2, 2009 Post-judgment Interest: SO.OO Attorneys' Fees: $0.00 Costs: $212.50 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimants compensatory damages of $8,000.00. 2) Responde