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

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-04284 John P. Mills Judith E. Mills Name of Respondent Hearing Site: Seattle, Washington Wachovia Securities, a Limited Liability Company n/k/a Wells Fargo Advisors, LLC Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, John P. Mills and Judith E. Mills, hereinafter collectively referred to as "Claimant

AWARD FINRA Dispute Resolution In the Matter of the Arisltratlon Between: Name of Claimant Melba Kay Fredericks vs. Names of Respondents The Bank of Edwardsville, Uvest Financial Sen/ices Group, Inc., and Bradford Wayne Sharpe Case Number: 10-01365 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Associated Person vs. Member, Associated Person and Non-Member REPRESENTATION QF PARTIES Melba Kay Fredericks ("Claimant") was re

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-04962 Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent/Counter-Clalmant Hearing Site: Portland, Oregon Paul R. Erenfeld Nature of Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/C

stipulated Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06522 Oppenheimer & Co., Inc. Name of Respondent Hearing Site: Los Angeles, Califomia Mark L. Monin Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimanf: Michael J. Albert, Esq.. Albert & Will, LLP, Tonrance, Califomia. Respondent Ma

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Hobart S. Geer (Claimant) vs. Warren Howard Rivetz and Citigroup Global Markets, Inc. (Respondents) vs. Mary Ellen Selgrad, Trustee of Estate of Hobart S. Geer (Third-Party Respondent) Case Number: 09-04948 Hearing Site: New York, New York Nature ofthe Disputes Initial Claim: Customer vs. Associated Person and Member. Third-Party Claim: Member and Associated Person