Award FINi^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 10-02481 Patricia J. Plesh Name of Respondents Hearing Site: Los Angeles, Califomia Crowell, Weedon & Co. Lloyd William Graham Jay Michael Oldham King Financial Services, tnc. Philip Roger King Royal Alliance Associates, tnc. Citigroup Global Markets, Inc. Lawrence. Preston Ruderman Nature of Dispute: Customer vs. Members and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01654 James M. Mosher Name of Respondent Hearina Site: Los Angetes, Catlfornia Ontario, California Merrill Lynch, Pierce, Fenner & Smith incorporated Nature of Dispute: Former Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, James M. Mosher, hereinafter refen-ed to as "Claimanf: James M. Mosher, in propria persona.

AWARD FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Christopher K. Hutchinson vs. Case Number: 10-00380 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Ameriprise Financiat Services, Inc. NATURE OFTHE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Christopher K. Hutchinson ("Claimant" or "Hutchinson") was represented by Brian J. Sommer, Esq., Meyer, Unkovic & Scott, LLP,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wachovia Securities, LLC vs. Case Number: 09-02124 Hearing Site: Houston, Texas Name of Respondent/Counter-Claimant Stifel Nicolaus & Co., inc. NATURE OFTHE DISPUTE Member vs. Member REPRESENTATION QF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") n/k/a Wells Fargo Advisors, LLC (successor) was represented by Jack

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04216 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Michael R. Harrill (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher S. Griesmeyer, Esq., Greiman, Rome & Griesmeyer, P.C, Chicago, IL. Respondent appeared pro se, Omaha, NE. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 17, 2010 CASE SUMMARY: Claimant asserted the following cause of

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,