N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimants Paul A. Shea and Penne J. Shea CASE No. v. 94-01862 Name of Respondents Paragon Capitol Corporation Anthony J. Toscano RKPRRSKNTATrfW For Claimants, Paul A. Shea and Penne J. Shea ("Claimants"), Evans J. Carter, Esq. from the law firm of Kassler & Feuer located in Boston, Massachusetts. For Respondent, Paragon Capital

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley A. Jakubowski Award No. vs. 94-01860 Name of Respondents A.S. Goldman & Co., Inc. Paul Cilmi REPRESENTATION For Claimant, Stanley R. Jakeboski ("Claimant"), James P. O'Neill, Esq. formerly with the law firm of Townley & Updike located in New York, New York, and now attorney-at-law located in Garden City, New Yor

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between » •. of Claimant Patricia Sara and 94-01850 Name of Respondent Kemper Securities Group, Inc. REPRESENTATION OF PARTIES Patricia Sara ("Claimant") was represented by David S; Acker, Esq., Williams Bay, Wisconsin. Kemper Securities Group, Inc. ("Respondent") was represented by Paul J. Campbell, Esq. and Christopher Barber, Esq., Coffiel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimant Frederick M. Ganz 94-01845 Name of Respondent La Jolla Capita] Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1994, Claimant Frederick Ganz, who appeared Pro Se, alleged that Respondent La Jolla Capital Corporation initiated a sale of Telephones de Argentina

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant JaninaKing 94-01843 NameofResDondents Prudential Securities, Inc. Anthony Black CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 18, 1994, Claimant Janina King, who appeared Pro Se, alleged that Respondents Prudential Securities, Hoc. ("PSI") and Anthony Black ("Black") purchase

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant Steve Cornell 94-01842 Name of Respondents Gerald M. Giffin First American Securities, Inc. Calton & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1994, Claimant Steve Cornell ("Claimant"), who appeared Pro Se, alleged that Respondents First America

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phillip Weisser 94-01838 Name of Respondents Charles Schwab & Co., Inc. Michael Higgins Ned Samuels CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1994, Claimant Phillip Weisser, who appeared Pro Se, alleged that he was not properly advised by Respondent Ned Samuels (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between GKN Securities Corp. 94-01837 Name of Respondent Randall Cohen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1994, Claimant GKN Securities Corp., through its in-house counsel, Katherine Nathan, Esq., alleged that Respondent Randall Cohen commenced employment with the Claimant on or about October

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03071 Anthony J. Mirigliani, IRA Lucille T. Mirigliani, IRA Anthony J. and Lucille T. Mirigliani, Joint Revocable Trust, DTD 1/29/99 Names of the Respondents Hearing Site: Tampa, Florida Michael Stone Thomas Jackman Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES For Anthony J. Mirigliani, IRA ("A. Miriglia

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Pauli & Company Incorporated, Claimant, v. No. 94-01834 Stephen R. Kovac, Respondent, REPRESENTATION OF PARTIES Pauli & Company Incorporated ("Claimant") was represented by Kevin J. Lorenz, Esq., of McMahon, Berger, Hanna, Linihan, Cody & McCarthy, St. Louis, Missouri. Stephen R. Kovac ("Respondent") was represented by Mitchell A. Margo, Esq.