Order of Dismissal NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jorge B. Rio (Claimant) v. D.H. Blair & Co., Inc. and James M. Povinelli, (Respondents) Case Number: 00-00313 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant Jorge B. Rio ("Rio"): pro xe. Respondent D.H. Blair & Co., Inc. ("D.H. Blair") and James M. Povinelli ("Povinelli") hereinafter collectively referred to as "Respondents": John T.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Susan M. Larson Case No. 00-00310 Name of Respondents Hobert & Svoboda, Inc.; and Leonard Hobert REPRESENTATION OF PARTIES Claimant Susan M. Larson ("Larson") was represented by Susan G. Schellinger, Esq. of the firm of Davis and Kuelthau, S.C., located in Milwaukee, Wisconsin. Respondents Hobert & Svoboda, Inc. ("HSI") and Leonard Hobert ("Hobe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph E. Borsch, Claimant Case Number: 00-00237 Vs. Hearing Site: Louisville, Kentucky Bane One Securities Corporation and Alan Stout, Respondents. REPRESENTATION OF PARTIES Claimant Joseph E. Borsch ("Borsch") was represented by B. Frank Radmacher, III, Esquire, Louisville, Kentucky. Respondents Bane One Securities Corporation ("Bane One") and Alan Stout

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. Mua D. Tran, (Respondent). Case Number: 99-02765 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. "Claimant": Mauricio S. Beugelmans, Esq. Charles Schwab & Co., Inc. San Francisco, California Mua D. Tran "Respondent": Did not appear. CASE INFORMATION Statement of Claim filed on

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