NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Malcolm Pain Claimant vs. Paragon Capital Corp. John Kenny CASE #92-00335 JWABD Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1992, Claimant, Malcolm Fein, Bsq., who appeared Pro Se, alleged that in 1991, through Respondent, John Kenny, an Account Executive with Respondent,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Frank P. DiLollo, III, (Claimant) vs. Prudential Securities Inc., Arthur Snyder, and Andrew Compton, (Respondents) Case Number: 99-03059 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Frank P. DiLollo, III ("DiLollo"), hereinafter referred to as "Claimant": Lawrence T. Neher, Esq., Berkowitz, Lichtstein, Kuritsky, Giasullo & Gross, LLC, West Orange, NJ. Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wanda G. Cutlip Thomas L. Cutlip vs. 92-00333 Name of Respondent Shelter Rock Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1992, Claimants Thomas L. & Wanda G. Cutlip, who appeared Pro Se, alleged that Respondent Shelter Rock Securities sold their IRA accounts witho

Arbitration N.A.S.D. AWARD JJATICNAL ASSOCIATION OF SiJLUkiTIKi? DEALERS In the Matter of the Arbitration Between of naiiTB»n< - 92-00332 Legg Mason Wood Walker, Inc. Ntoe_of_Resjyindent Jack C. Pappas National AMocation 01 Securities Oeiltf*, Inc NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX 1212) 858-4389 For Claimant Legg Mason Wood Walter, lac. ("Claimant"): Dana Pescosolido, of Fairbanks, Gault et

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David S. Foster and Fa ye V. Foster 92-00331 Name of Respondents Prudential Securities Inc John Vandenburg For Claimant: James A. lafrate, Esq. of Logeman & Associates. P.C. For Respondents: Peter Byer. Esq. of Prudential Securities Inc. CASE INFORMATION Statement of Claim filed: January 17, 1992. Claimant's Submission

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Melvin Williams Claimant CASE #92-00330 AWARD vg. Waddell & Reed Financial Services Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1992, Claimant, Melvin Williams who appeared Pro Se, alleged that in September 1989 when he received a lump sum annuity payment from his r

WBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Corey Goldstein vs. 92-00315 Name of Respondents) Castle Securities Corp. V P Securities. Inc. Nick Ferrara vs. Michelle Hersh CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28. 1992. Claimant Corey Goldstein, by and through Edward Edelstein. Esq.. Flus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Bet-ween Name of Claimants Anne W. Ferguson Case No. 92-00313 Name of Respondents Dean Winer Reynolds, Inc. Eugenia G. Lavery For Claimant, Anne W. Ferguson ("Ferguson"): Albeit B. Lewis, Esq. of Piper, Esteva. Karvonen & Lewis. For Respondents, Dean Witter Reynolds, Inc. ("DWR") and Eugenia Lavery ("Lavery"): Melinda Socai Herbst, Esq. of DWR.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Kent Forster vs. 92-00312 Name of Respondents) Global America Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1992. Claimant Kent Forster, who appeared Pro Se, alleged that Respondent Global America, Inc. failed to follow his instructions to sell 7,000 sha

PUBLIC NATIICNAL ASSOCIATION CF SECURITIES DEALERS, INC. r. the Mat car or tr.e Arbitration Bee ween aineWebber, Inc. Claimant JoAnn Desanto Gauvin Deborah Howard Rescondents :ASE #92-00307 AWARD CASE SUMMARY In a claim tiled with -he National Association of Securities Dealers, Inc. on January 28, 1992, Claimant PaineWebber, Inc. by and through their in-house counsel Joseph A. Vallo, Esq. alleged that :>n • or abouc October 17, 1