Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07280 Michael H. Lewis Francelle N. Lewis Name of the Respondent Hearinq Site: New Orieans, Louisiana UBS Financial Services, Inc. Nature of the Dispute: Associated Person and Customer vs. Member. REPRESENTATION OF PARTIES For Michael H. Lewis ("M. Lewis") and Francelle N. Lewis ("F. Lewis"), hereinafter collectively referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Henry C. Stockman. Claimant v. Bear Steams & Co. Inc., Respondent Case Number: 06-04496 Hearina Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: William M. Ziering. Esq. San Francisco, Califomia For Respondent: Gilbert R. Serota, Esq. Howard Rice Nemerovski Canady Falk & Rabkin San Franci

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Franklin Allen Fitch Names of the Respondents H&R Block Financial Advisors, Inc. Manish Mukhi Case Number: 06-04416 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Franklin Allen Fitch, hereinafter referred to as "Claimant": Richard J. Edson, Esq., Sacr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-00265 Heather Asbell Names of the Respondents Hearing Site: Nashville, Tennessee Woodbury Financial Services, Inc. Douglas O'Rear Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Heather Asbell, hereinafter referred to as "Claimant": Jonathan Jackson Pledger, Esq., Brentwood, Tennes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert W. Gloor (Claimant) vs. Wayne A. Schultz, Louis N. Mancinelli, and Your Money Matters Brokerage Services (Respondents) Case Number: 07-00346 Hearinq Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Robert W. Gloor hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Attorney at Law,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Clainnant v. David C. Kauffman, Respondent David C. Kauffman, Counter-Claimant v. Wells Fargo Investments, Counter-Respondent Case Number: 06-03920 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant / Counter-Respondent (hereinafter "Claimant"

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00941 Wells Fargo Investments, LLC, ("Claimant") vs. John Y. Liu, ("Respondent") ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent appeared pro se, Houston, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 19, 2007 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract b

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05082 Anne C. Snyder Names of the Respondents Hearing Site: Baltimore, Maryland A.G. Edwards & Sons, Inc. Robert L. Hopkins Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anne C. Snyder, hereinafter referred to as "Claimant": Ronald H. Jarashow, Esq., French, Jarashow & Smith, P.A., An

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04500 RBC Dain Rauscher, Inc. Name of the Respondent Hearing Site: Nashville, Tennessee Timothy S. Forsman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant": John R. Jacobson, Esq., Bowen Riley Warnock & Jacobson, PLC, Nashville, Tennessee. Ti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05335 Sandgrain Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Richard Aulicino Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Sandgrain Securities, Inc., hereinafter referred to as "Claimant": Robert A. Giacovas, Esq., Lazare Potter Giacovas & Kranjac LLP. New York, New York