N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between* Name, of Claimant: Maurice Nichols 92-02031 Name of Respondent Geoff London REPRESENTATION For Claimant at the hearing: Bruce E. Stephens, Esq., Attorney at Law, York, Nebraska. For Respondent at the hearing: John A. Warchol, Esq. of Warchol, Berndt, Kajek, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed: June 17,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David R. Hickman and Yvonne J. Hickman 92-02030 Name of Respondents R.J. Steichen & Company William Healey REPRESENTATION For Claimants at the hearing: Gail E. Boliver, Esq. of Boliver Law Firm, Marshalltown, Iowa. For Respondents, R.J. Steichen & Co. and William Healey at the hearing: Philip T. Colton. Esq. of Maun &

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John J. Coppinger Case* VS. 92-02027 NameofResoQndents Sbearson Lehman Brothers, Inc. A. L. Williams Claimant, John J. Coppinger, appeared pro-se. For Respondents, Shearson Lehman Brothers, Inc. and A. L. Williams: John P. Bevilacqua, Esq., in-house counsel at Shearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim filed: J

NASD Arbitration No. 92-02023 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Joseph G. Frake Name of Respondent(s) Kennedy, Cabot & Co., Inc. Guy Keefer REPRESENTATION For Claimant: Carroll R. Melton, Arbitration Consultants, Woodland Hills, California For Respondent: George Kupper, Esq., Kennedy, Cabot & Co., Inc., Beverly Hills, California CASE INFORMATI

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis Joseph Tinker 92-02022 Name of Respondent M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 17, 1992, Claimant Dennis Joseph Tinker, who appeared Pro Se, alleged that he owned 25,000 Magnacard shares made up of two separate certificates; one f

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas J. Koch Case No. 99-03203 Names of Respondents Olde Discount Corporation George Sadowski REPRESENTATION OF PARTIES For Thomas J. Koch ("Koch"), hereinafter referred to as "Claimant": Laurie Bolch, Esq., Boca Raton, Florida. For Olde Discount Corporation ("Olde") and George Sadowski ("Sadowski"), hereinafter collectively referred to as

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ PUBLIC Jack Heilweil 92-02020 Name of Respondent s) Paul Eisenberg REPRESENTATION The Claimant appeared Pro Se. The Respondent appeared Pro Se. CASE INFORMATION Statement of Claim filed: June 16, 1992. Claimant's Submission Agreement signed on: June IS, 1992. Statement of Answer filed by Respondent Paul Eisenberg o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra L. Schiermeier 92-02019 Name of Respondents R.G. Dickinson & Co.; W. Kirk Smith REPRESENTATION For Claimant: Sandra L. Schiermeier was represented by Don K. Leufven, Esq. of Houston, Texas. For Respondents: R. G. Dickinson & Co. was represented by Joseph L. Hood, Jr., Esq. of Scott, Hulse, Marshall, Feuille, Fing

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry Cannon Claimant CASE #92-02015 vs. Waterhouse Securities, Inc. Pamela Elliott Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1992. Claimant Jerry Cannon who appeared Pro Se, alleged that he had an account with Respondent Waterhouse Securities, Inc. which was r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant Leonard F. Wheat vs. 92-02014 Name of Respondent Charles Schwab & Company. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1992, Claimant Leonard F. Wheat, who appeared Pro Se, alleged that Respondent Charles Schwab & Company, Inc. was negligent in effecting a sale