N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Schoene 93-03127 Name of Respondent Hibbard Brown & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimant Donald R. Schoene. who appeared Pro Se, alleged that Respondent Hibbard Brown & Co., Inc., through its Account Executive, Tim Bouman. used h

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gyurme Sonam and Sumita Manandhar, JTTEN, Claimant v. J.B. Oxford & Company and George C Doyle, Respondents Case Number: 01-02657 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES Gyurme Sonam and Sumita Manandhar, JTTEN, appeared pro se. At the evidentiary hearing, Gyurme Sonam appeared pro se and on behalf of Sumita Manandhar. For J.B. Oxford & Company ("J.B. Oxford

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rose Hedrick 93-03125 Name of Respondents Dean Witter Reynolds. Inc. Robert Berry CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimant Rose Hedrick, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its registered representative,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Thomas W. & Vema M. Thon 93-03122 Name of Respondent(s) Hibbard Brown & Co., Inc. Derrick Morris CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimants Thomas and Verna Thon, who appeared Pro Se. alleged that Respondent Derrick Morris, a broker at Respondent H

N.A.S.D. AWARD -, 0 NATIONAL ASSOCIATION OF SECURITIES DEALERS, ING) i* f? n ' c - i n ,'_Q] 15 ^ IS [i In the Matter of the Arbitration Between MAY 2 7 tqq 4 Name nf Claimants ARBITRATION- CHICAGO \ Rick Thorson, Rick Thorson as Representative of the Estate of Shirley Thorson, deceased; Bruce Thorson and Jerome Thorson and ( 93-031 17 Name of Respondent Boettcher and Co. REPRESENTATION OF PARTIES

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph and Linda Sisti. JTWROS 93-03116 Name of Respondents Chesapeake Securities Research Corporation David Basoco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimants Joseph and Linda Sisti, who appeared Pro Se, alleged that on July 8, 1992 they bought 250

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name or Claimant Martin H. Lamb 93-03111 Name of Respondents Stratton Oakmont. Inc. Josepn Teseo Frank Skelly CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimant Martin H. Lamb, who appeared Pro Se. alleged that some time in early 1992, Respondent Joseph Teseo of Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFALERS. IXC. In The matter of the Arbitration Between Name of Claimant Connie L. Mandell Martin Mandell v. Nan^e of Respondents Olde Discount Corporation Matt Maley Daniel Espino Charles Louis Williams. IV NASD Arbitration No. 93-03110 RECEIVED FEB 2 8 1994 REPRESENTATION For Claimant: Martin Mandell. San Diego, California For Respondents: Matt Maley and C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ivan Castellon Case No.93-03109 Name of Respondent Hencoip Becstone & Co. REPRESENTATION For Claimant, Ivan Castellon ("Castellon"): Ronald Shindler, Esq. of Fowler, White, Burnett, Hurley, Banick & Strickroot, Miami, Florida. For Respondent, Hencprp Becstone & Company ("HB&Co"): George Befeler, Esq. of Fitzgerald, Delgado,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jonathan M. Herman 93-03105 ..'(•• Name of Respondents Richard C. Guiliot Hanover Sterling & Company, Ltd. For Claimant: Jonathan M. Herman, Esq. {"Herman?) pro ae. For Respondent: M. David Say id, Esq. of Sayid and Associates, located in New York City. (Representation of Respondent Guiliot for pleadings only) CASE INFO