AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Investments. LLC vs. Case Number: 08-02010 Hearing Site: Dallas, Texas Name of Respondent Chris J. Rotan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments. LLC ("Claimant" or "Wells Fargo") was represented by Thomas A. Volz, Esq. and Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chica

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David Yashon, M.D. vs. Names of Respondents A.G. Edwards & Sons, Inc., a division of Wachovia Securities. LLC, Michael O'Dell, and Brent Maridey Case Number: 08-00824 Hearing Site: Columbus. Ohio NATURE OF THE DISPUTE Customer vs. Terminated Member and Associated Persons REPRESENTATION OF PARTIES David Yashon, M.D. ("Claimanr) appeared pro se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Irene Ng (Claimant) vs. Scott C. Clark and Merrill Lynch Pierce Fenner & Smith, Inc. (Respondents) Case Number: 08-00003 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Irene Ng hereinafter referred to as "Claimant": Anthony M. Abraham, Esq., Anthony M. Abraham, Esq., P.C., Canmel, NY.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04998 Eric R. Rosenfeld, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Larchmont, NY. For Respondent appeared John Bersin, In-house Counsel, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 29. 2008 CASE SUMMARY: Claimant alleged that Respondent liquidated his account without permission. Claimant maintained that as

Award FiNRA Dispute Resolution In the Matter of the Ari3itration Between: Banc of America Investment Services, Inc. (Claimant) vs. John Pasacreta, John Rotando, Jondon Samelson. Jeremy Donefer. and Morgan Stanley Co., Inc. (Respondents) Case Number: 09-01732 Hearina Site: New York. New York Nature of the Dispute: Member vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referre

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-04683 Vivian D. Stirpe, ("Claimant") vs. Rafael Golan of RSG Capital Corp., ("Respondent") ATTORNEYS: Claimant appeared pro se, Boynton Beach, FL. For Respondent appeared Hartley T. Bernstein, Esq., Bernstein, Levine. Cherney LLP, New York, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: December 10, 2008 CASE SUMMARY: Claimant alleged that Respondent pressured her to l

FiNRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-04510 Erica Woodard, ("Claimant") vs. Raymond James Financial Services, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se. Miami. FL. For Respondent appeared Terrance A. Bostic, Esq., In-house Counsel, St. Petersburg, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 1. 2008 CASE SUMMARY: Claimant alleged that Respondent steered her into an investment which was b

FiNRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-03031 Nocoa Corporation, Andrew Jonathan Tressler. Todd David Aitken, Anthony Joseph Graziano, and Derek John Rehill, ("Claimants") vs. Cari Anthony Giangrande, ("Respondent") ATTORNEYS: For Claimants appeared Andrew Tressler, American Capital Partners, LLC, East Patchogue, NY. Respondent appeared pro se, Whitestone, NY. NATURE OF DISPUTE: Non-Member and Associated Persons v. Associated

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Shukri Robert Dayeh (Claimant) vs. M & T Securities, Inc. (Respondent) Case Number: 08-02821 Hearing Site: Rochester. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Shukri Robert Dayeh hereinafter refen-ed to as "Claimant": George S. Mehallow. Esq.. North Syracuse, NY. Respondent M & T Securities, Inc., hereinafter referred to as

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Barry Liben (Claimant) vs. Chase Investment Services Corp. (Respondent) Case Number: 08-01656 Hearina Site: Newarl^, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Barry Liben hereinafter referred to as "Claimant": Michael J. Sullivan, Esq., Coughtin Duffy LLP, Morristown, NJ. Respondent Chase Investment Services Corp.. hereinafter refer