FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00617 EKN Financial Services, Inc. ("Claimant") v. Ahmad (Kevin) Wares ("Respondent") ATTORNEYS: For Claimant appeared Richard R. Borgner, EKN Financial Services, Inc., Woodbury, NY. Respondent appeared Pro se, Bayshore, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 4. 2008 CASE SUMMARY: Claimant alleged that Respondent breach his agreement and refused to

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stifel, Nicholas & Company, inc. vs. Case Number: 07-02585 Hearing Site: Minneapoiis, Minnesota Names of Respondents RBC Dain Rauscher, inc., James A. Bjomlie, and Andrew James Bjomiie MATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Stifel, Nicholas & Company, inc. ("Claimant" or "Stifel") was represe

Award FINRA Dispute Resolution In the Matter of the ArbltiBtion Between: Claimante Case Number: 07-02796 Jean Cooling Brown and George Brown Respondente Hearing Site: Dallas, Texas Edward D. Jones, LLP and Stephen Steele Westphal Nature of the Dispute: Customere vs. Member and Associated Person REPRESENTATION OF PARTIES Claimante, Jean Dooling Brown and George Brown, hereinafter collectively referred to as "Claimants": H. Dale Langley, Jr.,

Award FINRA Dispute ResoltJtion In tiie Matter of the Art)ltratton Between: Claimant Case Number. 07-03120 An'ite R. Wood Respondente Hearino Site: San Diego, Califomia ING Financial Partnere, Inc. Lance A. Pelky ivteture of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Anite R. Wood, hereinafter referred to aa "CtaimanT: Arthur S. Leider. investora Ari3itration Speciallste, San Diego, CaiHbmia

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number 08-01082 Oppenheimer& Co.. Inc. Respondent Hearing Site: San Francisco, California Peter Brown Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Mitchell J. Albert, Esq., Albert & Will, Torrance. Califomia Respondent. Peter Brown, hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number 07-00913 Jerry Engel Name of tiie Respondents Hearing Site: Las Vegas, Nevada Spencer Trask Ventures, Inc. Bill DioQuanJi Kevin Kimberiin Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Jerry Engel, hereinafter referred to as "Claimant": M Nelson Segel, Esq.. Law Office o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant: Charies C. Salfity Name of tiie Respondents: AIG Financial Advisors. Inc. f/k/a SunAmerica Securities, Inc. Scott A. Householder Todd A. Bergeron The Householder Group, LLLP Case Number: 05-06281 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Associated Person v. Member, Associated Persons, and Non- Member REPRESENTATI

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02144 Morgan Keegan & Company. Inc. Name of the Respondent Hearing Site: Dallas. Texas Holt E. Harris Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant. Morgan Keegan & Company, Inc., Shea O'Brien Hicks, Esq., Morgan Keegan & Company. Inc., Memphis, Tennessee Respondent did not enter an appearance

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 07-03225 James V. Nielsen Elinor Nielson, individually James & Elinor Nielsen, Trustees of The James & Elinor Nielsen Living Trust Dated February 7, 2007 Name of the Respondent: Hearing Site: Los Angeles, California Charies Schwab & Co. Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, James

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Patrick J. FItzpatrick vs. Names of Respondents NatCity Investments, Inc. and Cathy M. Dickens Case Number: 07-00601 IHearing Site: Southfield, Michigan Customer vs. Member and Associated Person PatrickJ. FItzpatrick ("Claimant") was represented by Anthony V.Trogan, Esq., Anthony V. Trogan, P.L.L.C., West Bloomfield. Michigan. NatCity Invest