Finra FINRA OR In the Matter of Arbitration Between Case: Joiin S. Huydii v. Bank of America Corporation and Affiliated Companies and Banc of America Specialists, inc. Chrisiophcr C. Quick and Robcrl Hardy Docket: 200^01M07 Attorneys: For Claimants): Ihomas 1 loiman - Ni*w York, NY For Respondent{s): Lloyd Chinn - New York, NY Date Filed: i2/2y/2O0S First Scheduled: VlV200o Decided: 10-17-08 Case Summary: (.^Ijiimant, ;i forinor employee

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between First of Michigan, Division of Fahnestock & Co., Inc. and 01-05348 Southfield, Michigan Robin Johnson REPRESENTATION OF PARTIES First of Michigan, Division of Fahnestock & Co., Inc. ("Claimant") was represented by Evelyn Bukchin, Esq., Fahnestock & Co. Inc., New York, New York. Robin Johnson ("Respondent") was represented by Richard E. Segal, Esq., West Bloomfield,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph and Shirley Jurinich, (Claimants) vs. Advest, Inc. and Lee Bordeleau. (Respondents) Case Number: 98-03096 Hearing Site: Buffalo. New York STATION QF PARTIES Claimants, Joseph Jurinich and Shirley Jurinich, hereinafter collectively referred to as "Claimants": Jon I^uLs Wilson, Esq., Law Oftlccs of Jon Iu>uis WiLson. Lockport, NY. Cort.^ Hogan, Esq. appeared as co-counsel. Re

Award NASD Dispute Resolution, Inc. In the Matter of die Aibitration Between Nanrwnfriiiimnnt Everen Securities, now known as First Union Securities, Inc. Case No. 98-03445 Robert Allen Sanditen Hearing .qite- Oklahoma Gty, Oklahoma PgPPFgP-KTTATimtf nV PAPTTPg Claimant Everen Securities, now known as Fiist Union Securities, Inc., was represented by Diane C. Fischer, Esq., of the firm of Kane & Fischer, Ltd., located in Chicago, Illinois.

Award NASD Dispute Resolution, Inc. Case No. 98-02893 In the Matter of the Arbitration Between Name ol Claimant Mercantile Investment Services, Inc. Names of Respondents Sharon Dyer Karnes First Commercial Investments, Inc. Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For Mercantile Investment Services, Inc., hereinafter referred to as ''Claimant**: Herbert C. Rule, III, Esq. of the Rose Law Fiim. Little Rock, AR. Fo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Keith Fry. assignee of North American Financial Sen^kses Companies, Inc., North American Financial Group, Inc., and North Annerican Insurance Services, Inc. vs. D&R Financial Services, L.L.C.. John David Gibbons, Peggy Lynn Haw Jury and Kim Edward Virkler Case Number: 98-2627 Hearing Site: Detroit, Michigan REPRESENTATION QF PARTIgS Claimant. Keith Fry, assigneeof North American Finan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05344 Harold Post Name of the Respondents Hearing Site: Chicago, Illinois Linsco Private Ledger Corp. and Terry L. Gourley REPRESENTATION OF PARTIES Claimant Harold Post ("Claimant") was represented by Andrew J. Stoltman, Esq. of the firm Maddox Koeller Hargett & Caruso with offices located in Chicago, Illinois. Respondent Linsco Pr

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald M. Sherin and Norma E. Sherin, (Claimants) vs. National Securities Corporation and Kenneth Sweet, (Respondents). Case Number: 98-01930 Hearing Sitg: Seattle. Washington. Ronald M. Sherin and Norma E. Sherin hereinafter collectively referred to as "Claimants": Fredrick D. Huebner, Esq., Cable, Lagenbach, Kinerk & Bauer, Seattle, Washington. National Securities Corporation and Ke

AWARD NASD REGULATION, INC In the Matter of the AibitEadon Becwaen Any Louise WddOD CaseN'^Jilber and 9M1629 Jtmiey Mon^onery Scott» Ibc PBtiidftT.DiLacido BBTBSPrrrtTIftWgrfAlfflB ForAnyLooiaeWddon('VnelmiiOappeerBdRapdtyKai«fa Eaq.» of ifae law fstt CoanoUy, ^Mleiii, Chioeor Foxnu^ NfoKgao, Lem ft Boddnsy LLP, k>cated in FhOaddlpbi^ For Patdcia T. DiLucido CDiLMcido^ appatcA 0. Jelfii^ Bmgonko^ Eaq^ of the law finn Moigap, Lewia ft

JBC In the matter of the Arbitration Between Wnme of..Clfliinantfa] Thomas Y. Bnnett The Thomafl Y. Emnect Trust Rose Marie Eimect The Roae Bbria Bnnett Trust Arbitration No. Bl'OfiSlQ at BflflpondBTiLfal Duke 6 Company, inc. Gregg Adam THaler Victor Ming Wang Charles Thornton Bennett woBxamBKam For Claimants: Robert 9. Banks, Jr., Esq., Portland, Oregon For Respondent Duke 6 Conpony, inc.: Hilliam Rothols, Duke & Com