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

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00468 Donald M. Ball, individually and as trustee for the Chick-Fil-A employee trust Names of the Respondents Hearinq Site: Columbia, South Carolina National Securities Corporation National Financial Services, LLC Kevin Guzman Francisco Javier Tineo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Gorak Foundation Trust (Claimant) v. National Securities Corp., and Dean S. Friedman (Respondents) Case Number: 06-00972 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant The Gorak Foundation Trust, hereinafter referred to as "Claimant": Daniel L. Carroll, Esq., Ingram Yuzek Gainen Carroll &

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Neil E. Roberts (Claimant) vs. Robert Snyder and Salomon Smith Barney, Inc., (Respondents) Case Number: 06-04885 Hearina Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Neil E. Roberts hereinafter referred to as "Claimant" appeared pro se. Respondents Robert Snyder ("Snyder") and Salomon Smith Barn

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vinu Patel and Smita Patel (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Michael Miros (Respondents) Case Number: 05-04592 Hearinq Site: Cincinnafi, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Vinu and Smita Patel hereinafter collectively referred to as "Claimants": Philip D. Sever, Esq., Ernswile

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Steven A. Rothstein vs. Case Number: 06-05019 Hearing Site: Chicago, Illinois Names of Respondents Sky Capital LLC and Ross Mandell NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Steven A. Rothstein ("Claimant") appeared pro se. Sky Capital LLC ("Sky") and Ross Mandell ("Mandell"). hereinaf