Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James F. Gordon Case No. 00-00093 Names of Respondents Grady and Hatch & Company, Inc. John Black Thomas King Rhett Kirchhoff Robert Grady Raymond Hatch REPRESENTATION OF PARTIES For James F. Gordon, hereinafter referred to as "Claimant": Harry Haskins, Esq., Sarasota, Florida. On or about September 28, 2000, counsel for Claimant wit

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between n Claimant Linda Sweeney Case No. 00-00080 N^rpp of Respondents Merrill Lynch Pierce Fenner & Smith Inc Amy E. Clayton-Benjamin ng site- Philadelphia, PA Off PARTTFS Claimant, Linda Sweeney: Michael T. Imms, Esq., Crawford, Wilson, Ryan & Agulnick, West Chester, PA. Respondents, Merrill Lynch Pierce Fenner & Smith ("Merrill Lynch") and Amy E. Clayton

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02102 Empire Financial Group, Inc, claimant vs. Windel J. Skinner and Dee Ann Skinner, respondents. ATTORNEYS: For Claimant Empire Financial Group, Inc. ("Claimant"), Kevin M. Gagne, President of Empire Financial Group, Inc., Longwood, Florida. Respondents Windel J. Skinner and Dee Ann Skinner ("Respondents"), did not respond to the Statement of Claim.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wallace and Lois Warner Claimant(s) vs. 89-02251 James J. Chica Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Wallace and Lois Warner alleged that Respondent(s) James J. Chica made misrepresentations and mishandled their funds. Respondent denies the claim in its entirety. RELIEF REQUESTED Claimant(s) Wallace and Lois W

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Charles Schwab and Company, Inc. Claimant vs. Earnest Dave Earnheart Respondent AWARD 189-02250 Case Summary Claimant, Charles Schwab and Co., Inc. alleged that Respondent, Earnest Dave Earnheart was liable for a debit balance in his margin account allegedly resulting from a maintenance liquidation that took place after Respondent Earnest Dave Eamhear

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Bateman Eichler, Hill Richards, Inc. Claimant(s) vs. 89-02248 Morris Abe Santop Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bateman Eichler, Hill Richards, Inc. alleged that Respondent(s) Morris Abe Santop has not paid the debit balance owed to Claimant. Respondents) has not responded to the claim. RELIEF REQUESTED C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Oppenheimer & Co., Inc. Claimant(s) vs. 89-02239 Kenneth Thomas Adams Respondent^ s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Oppenheimer & Co., Inc. alleged that Respondent(s) Kenneth Thomas Adams owes a debit balance on his account. Respondent(s) maintain that his broker was well aware that he was acting as a nominee for Mr. Don

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) ) David L. Diefenbaugh and ) Diana Diefenbaugh Claimants ) AWARD vs. ) NASD NO. 89-02236 ) E. F. Mutton & Co., Inc. and ) James Kenney Respondents ) ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 8, 1989. Claimants alleged that Respondents misrepresented the risks invo

N.A.S.D. AWARD jl NATIONAL ASSOCIATION OF SECURITIES DEALERS, IKC.-N0V I Ofi9g In the Matter of the Arbitration Between -- - - • BMMG Capital Corporation and 89-02243 CONSOLIDATED WITH Names of Respondents Suburban Stock/Option Investment Club; Robert J. Brown; Lester Graves; William E. Harris; Jack Hornbeck; Raymond L. Jenner; David M. Kaufman; J. Keith Kavanaugh; John Moyle; Calvin W. Meyer; Everett S. Nicholas; Glen H. Phillips; Quentin S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Peter A. Douglas Claimant(s) vs. Brennan Ross Securities, Inc. and Cohig and Associates, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02232 CASE SUMMARY Claimant(s) Peter A. Douglas alleged that Respondent(s) Brennan Ross Securities, Inc. and Cohig and Associates, Inc. mismanaged the transfer of Claimant's account and failed to execute a