Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-00107 Edward Satlin and Micah G. Scheinberg Respondent Goldman Sachs and Company Hearing Site: Los Angeles, California Nature of the Dispute: Associated Persons vs. Member REPRESENTATION OF PARTIES Claimants, Edward Satlin ("Satlin") and and Micah G. Scheinberg ("Scheinberg"), hereinafter collectively referred to as "Claimants": Rodney J. Heggy, Es

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 96-03667 Robert Campbell Names of the Respondents Hearino Site: Los Angeles, California First Metropolitan Securities Inc. and Andrew C. Skidmore Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Robert Campbell, hereinafter referred to as "Claimant": Pro Se, Burbank, California Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01054 Andrea Diane Mears Name of the Respondent Hearina Site: Oriando, Florida Bud Nicol Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Andrea Diane Mears, hereinafter referred to as "Claimant", appeared pro se. For Bud Nicol, hereinafter referred to as "Respondent": Katherine C. Donlon, Esq.,

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-03049 Estate of Gordon H. Amabruster, by Dolores A. Sonadres, Personal Representative ("ClairTiant") vs. Wells Fargo Investments, LLC, ("Respondenf) ATTORNEYS: For Claimant appeared Robert Kamman, Esq., of the fimi Kamman l-aw Office, P.C, Phoenix, AZ. For Respondent appeared in-house counsel, Vanessa M. Hoffmann, Esq.. San Francisco. CA. NATURE OF DISPUTE: Customer vs. Member

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward O'Brien and Gerald Silberman (Claimants) v. Citigroup, Inc., Citigroup Global Markets, Inc., and Citicorp Investment Services (Respondents) Case Number: 07-00889 Hearina Site: New York, New York Nature of the Dispute: Associated Persons vs. Non-Member and Members. REPRESENTATION OF PARTIES Claimants Edward O'Brien ("O'Brien") and Gerald Silberman ("Silbemian"), hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard B. Barnes and Lucy B. Barnes (Claimants) v. Summit Equities, Inc. (Respondent) Case Number: 06-03753 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Richard B. Barnes ("R. Barnes") and Lucy B. Barnes ("L. Barnes") hereinafter collectively referred to as "Claimants": Devanshu L. Modi, Esq., Lyon, Glassman,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04849 Madron Wilson Ruth Attaway Donna Wilson Tim Wilson Rick Wilson Lavonia Trimble Names of the Respondents Hearina Site: Birmingham, Alabama Benson York Group, Inc. Robert Joseph Marcus, Jr. Kevin Patrick Brennan John Joseph Conroy Gary P. Demetri Bradford Alan Miller Nature of the Dispute: Customer vs. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01618 Wachovia Securities, LLC Name of the Respondent Hearing Site: Raleigh, NC Roderick L. Brown Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Ryan P. Smith, Esq., Wachovia, Richmond, VA. Roderick L. Brown ("Brown"), he

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03335 Joseph McDonald, Jr. Names of the Respondents Hearing Site: New Orleans, Louisiana A. G. Edwards & Sons, Inc. Scott Edward Foreman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph McDonald, Jr., hereinafter referred to as "Claimant": George F. Reiss, Esq., Law Offices of Geo

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03425 Shoji Takahashi, ("Claimant") vs. Firstrade Securities Inc., ("Respondent") ATTORNEYS: ••~" ' ~~" Claimant appeared pro se. La Canada Fllntridge, CA. For Respondent appeared in-house counsel Peter Gschweng, VP, DOC, Flushing, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 28,2007 CASE SUMMARY: Claimant alleged that Respondent failed to transfer funds in a timely