N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John R. Meares Helen A. Meares CONSOLIDATED AWARD 93-03281 & 93-0326* Name of Respondents Wilshire Discount Securities Robert Scott Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant John R. Meares, who appeared Pro Se, alleged that Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John R. Meares Helen A. Meares CONSOLIDATKD AWARD 93-03281 & $3-03264 Name of Respondents Wilshire Discount Securities Robert Scott Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant John R. Meares, who appeared Pro Se, alleged that Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter F. Cheng 93-03224 Name of Respondents Barrett Day Securities. Inc. David Heredia CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 18, 1993, Claimant Peter F. Cheng, who appeared Pro Se, alleged that on March 2, 1993 he was astonished to receive a statement from Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark E. Horowitz 93-03223 Name of Respondent A.S. Goldmen & Company CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on August 18, 1993, Claimant Mark E. Horowitz, who appeared Pro Se, alleged that Respondent A.S. Goldmen & Co., by and through Mr. Greenman, solicited his business by teleph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen & Jessica Norko Mark McCoy Darlene Grace Allen Jack and Ligia Allen 93-03221 Name of Respondents Paragon Capital Corporation Michael Bonkosky REPRESENTATION For Claimants, Steven and Jessica Norko ("the Norkos"), Mark McCoy ("McCoy"), Jack and Ligia Allen ("the Aliens"), and Darlene Grace Allen ("D. Allen")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Serafin Garcia & Manuel Garcia Armas Case No. 93-03219 Name of Respondents Prudential-Bache Securities Inc. Fernando Leyva REPRESENTATION For Claimants Serafin Garcia & Manuel Garcia Annas ("Garcia"): James F. Gilbride, Esq., of Gilbride, Heller & Brown, P.A., Miami, Florida. For Respondents Prudential-Bache Securities Inc

KT.A.S.B. OF ~n the matter of the Arbitration Between Mama of glaipiant: ( fl \ Dean Witter Reynolds inc. NASD Arbitration No. 33-03217 nf ag>iri*nt- f a V Hector Resales For Claimant: Michael J. Abbott, Esq., Jonee, 3ell, Simpson & Abbott, Io» Angelea, California For Respondent: No Appearance by Respondent Statement of Claim filed: August 13, 1993 Claimant's Submission Agreement signed: August 10, 1993 Respondent Hector Resales

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of CJ^imants E.T. Hermann and Jane Hermann, Trustees For the Hermann Living Trust Account NASD Arbitration vs. #93-03216 Name of Respondents Gruntal & Company, Inc. Scon Mathis REPRESENTATION For Claimants: Janet Braver, Esq., Vogl & Meredith, San Francisco, California For Respondents: Eric S. Hutner, Esq., Gruntal &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Party Name(s), Samuel R. Bacon vs. PaineWebber Incorporated, JC. Bradford & Co., and Lawrence Taylor (Respondents)). Case Number: 01-02665 Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Clairnant(s), Samuel R. Bacon ("Bacon"), hereinafter referred to as "Claimant": Attorney Name, Hugh J. Moore, Esq., and Rosemarie L Bryan, Esq., Witt, Gaither & Whi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Medical Center Anesthesiologists FBO Jam 93-03215 Name of Respondents Merrill Lynch, Pierce Fenner & Smith Inc Thomas J. Clark Claimant Boatmen's National Bank of Des Moines (Formerly First Interstate Bank of Des Moines, N.A.) Trustee for Medical Center Anesthesiologists FBO James D. German, D.O. ("Claimant") was represented by