N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jacques & Diane Gaidry-Thelemaque 93-03620 Name of Respondent L.P. Charles & Goings, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 16, 1993, Claimants Jacques & Diane Gaidry-Thelemaque, who appeared Pro Se, alleged that Respondent L.P. Charles & Goings, Inc., through

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Perlas 93-03613 Name of Respondents Paragon Capital Corporation Franklin D. Jolliff Michele D. Wessel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15, 1993, Claimant Michael Perlas, who appeared Pro Se, alleged that Respondent Franklin D. Jolliff, of the

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02736 Access Financial Group, Inc., Claimant vs. Marc D. Ballard, Respondent. ATTORNEYS: For Claimant appeared Andrew S. May, Esq. of the firm Henderson & Lyman, Chicago, IL. Respondent did not respond to the Statement of Claim. DATE FILED: May 24, 2001 CASE SUMMARY: Claimant alleged that Respondent breached their contractual agreement and failed to repay the balanced owed on two p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Allergy Medical Group Profit & Pension Plan FBO Dr. John T. Chiu, John T. Chiu, Trust NASD Arbitration No. 93-03612 N.ame of Respondent(s) Shearson Lehman Brothers, Inc. Steve Nassau REPRESENTATION For Claimant: Michael Huberman, Esq., Greenbaum & Ferentz, Newport Beach, California For Respondents: Step

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Susan M. Mahler, as custodian 93-03606 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith. Inc. CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on September 15, 1993, Claimant Susan M. Mahler, who appeared Pro Se, alleged that her broker at Respondent Merrill Lynch, Pierce, Fenner

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCJairnartts Paul and Jeanne Palmisano 93-03598 Name of Respondents Prudential Securities Inc Donald Kelly REPRESENTATION * :•....'. ...• / ' ; - , - . . For Claimants Paul and Jeanne Palmisano ("Claimants"): John J. Blanchard, Attorney at Law in Atlantic City, New Jersey: ' For Respondents Prudentia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 93-03594 Name of Respondent Laurence Rubin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 14,1993, Claimant Corporate Securities Group, Inc., through its in-house counsel Charles E. Scarlett, Esq., alleged that Respondent Laurence Rubin is in

N.A.S.D- AWXRD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(a) Michael and Donna Hornbuckle The Hornbuckle Family Trust of April 15, 1991 NASD Arbitration No. 93-03592 Name of Respondent: (s) Wertheim Schroder & Co., Inc. Stanley Cameron REPRESENTATION For Claimants: David R. Merrihugh, Esq., Agoura Hills, California For Respondent Wertheim Schroder & Co., Inc.: Timothy N.

N.A.S.D. AWARD Dean Britting, Claimant, v. No. 93-03586 Richard Gross, Aaron Fishman, and Michael Woloshin Respondents REPRESENTATION OF PARTIES Dean Britting ("Claimant") appeared pro se. Aaron Fishman and Michael Woloshin failed to appear at the hearing. Richard Gross was dismissed prior to the hearing in this matter. CASE INFORMATION Claimant filed his Statement of Claim on or about September 13,1993. Claimant's Submission Agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Lawrence E. Fuller & Jean E. Fuller 93-03584 Name of Respondent Gerald W. Clevenger REPRESENTATION For Claimants, Lawrence Fuller and Jean E. Fuller: Michael W. Pursley, Arbitration Research Consultants, Safety Harbor, Florida. For Respondent, Gerald W. Clevenger ("Clevenger"): pro se. CASE INFORMATION Statement of Cl