PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth R. Allen, TTEE/Ruth R. Allen Trust 92-03714 Name of Respondents Prudential Securities Inc Marilyn Katatsky CASE SUMMARY . . . . . . . . . . . In a claim filed with the National Association of Securities Dealers, Inc. on November 3, 1992, Claimant Ruth R. Allen TTEE, wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: Paragon Capital Corp. 92-03713 Names of Respondents: David L. Weintraub Lew Lieberbaum & Co., Inc. Brian Clendenin Jay Israel Leonard Neuhaus REPRESENTATION For Claimant, Paragon Capital Corp. ("Paragon"): David S. Smith, Esq., of Smith Campbell & Paduano, New York, New York. For Respondent, David L. Weintraub

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lawrence Kalkstein Case# vs. 92-03703 Name of Respondents Phillips Appel & Walden, Inc. Michael Woloshin Joseph Xerri Richard Fletcher Robert Trause John Henry Starr Richard Mark Engelhardt REPRESENTATION For Claimant, Lawrence Kalkstein, appeared Joan M. Markey, Esq., a sole practitioner, located in New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herbert L. Bebar & Sara Bebar, Trustees 92-03699 Name of Respondent Fidelity Brokerage Services, Inc. For Claimants, Herbert L. Bebar and Sara G. Bebar. pro se. For Respondent, Fidelity Brokerage Services, Inc. ("Fidelity"): Kenneth J. McDonald, Esq. of Fidelity CASE INFORMATION Statement of Claim filed on: October 30, 192

N.A.S.D. AWARD P'mi I0 « oCulL NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Margo L. Daniel 92-03696 Name of Respondents Charles Schwab & Company, Inc. Anne Nichols CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 2, 1992, Claimant Margo L. Daniel who appeared Pro Se, alleged that on July 16, 1992 she called the Dallas offic

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant and Counter-Respondent Refco Securities, Inc. v. Arbitration No. 92-03685 Name of Respondent and Counter-Claimant City of Orange REPRESENTATION For Claimant: Scott E. Hershman, Esq. Graubard, Mollen & Miller New York, New York For Respondent: Michael Willoughby, Esq. Borchard & Willoughby Irvine, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christine M. Walsh ' • • • • '"»• *"•!:; 92-03683 Name of Respondents Malone ft Auociates, Inc. Wayne D. Wheeler - Claiinwtf CBratincM. W^("CliinTJBtt^) w« represented by Jeff A. Schncpper, Biq. of Jeff A. Schneppcr & Associates. Respondent Malone it. Associate*, Inc. ("Malone") was not represented. Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Talaat H. Mohamed, M.D. APMC Talaat H. Mohamed, M.D. Names of Respondents A.G. Edwards & Sons, Inc. Roy Allain St. Paul, Jr. Case Number. 01-02513 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Talaat H. Mohamed, M.D. APMC (the "Corporation") and Talaat H. Mohamed, M.D. ("Dr. Mohamed"), hereinafter collectively referred to as "Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Manhattan College Endowment Fund 92-03681 Name of Respondents Shearson Lehman Brothers, Inc. Peter M. O'Neill REPRESENTATION For Claimant Manhattan College Endowment Fund ("Manhattan College") appeared Franklin D. Ormsten of the law firm of Onnsten & Evangelist, Jericho, NY. For Respondent Shearson Lehman Brothers, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David C. Hastings No. 92-03678 Name of Respondents Merrill Lynch Pierce Fenner & Smith. Inc. Jon M. Fletcher Therese K. Waigand Jim Svenstrup ~ ~~ rc.ElPF S1 ?NTATION OF PARTIES Claimant appeared pro se. For Respondents: Elizabeth G. Armstrong, Esq., of Merrill Lynch, Pierce, Fenner & Smith. Inc. New York, N