N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of'Claimant Paul C. Mason 95-02029 Name of Respondent Hamilton Investments, Inc. REPRESENTATION For Claimant: Paul C. Mason ("Mason"): Robert L Winicki, Esq., Jacksonville, Florida. For Respondent: Hamilton Investments, Inc. ("HIT): Lawrence T, Hofmaim, Esq. of Zelle & Larson, Minneapolis, Minnesota. CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation 95-02027 Name of Respondent Ralph J. Canino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1995 Claimant Paragon Capital Corporation ("Claimant"), through its representative Compliance Director, Michele D. Wessel, alleged that Respondent Ralph J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between The Ohio Company 95-02024 Name of Resoondent REPRESENTATION For claimant The Ohio Company ("claimant") appeared Marion H. Little, Esq., of the law firm of Zeiger, Dreher & Carpenter located in Columbus, Ohio. Respondent Gregory Morehead ("respondent") appeared pro se. CASE INFORMATION Statement of Claim filed: April 26, 1995. Claimant's sub

AWARD NASD Regulation, Inc. Office of Dispute Resolution In ihe Matter of Arbitration Between Robert Fitts, Carla M. Co/ad Trust. John Hldred Cozad Trust, Monica R. Cozad Trust, and Mary Lynne Cozad Trust. Claimants, and No. 95-02020 Stratton OakmonU Inc., and Riccardo White, Respondents. REPRESENTATION OF PARTIES Claimants, Robert Fitts. Carla M. Co/ad Trust. John Eidrcd Cozad Trust. Monica R. Cozad Trust, and Mary Lynnc Cozad Trust

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01887 Morgan Stanley Dean Witter, Inc., Claimant vs. Kevin Keane, Respondent. ATTORNEYS: For Claimant, Morgan Stanley Dean Witter, Inc., ("Claimant"), appeared Robert L. Tobey, Esq., of the firm Johnston & Tobey, P.C., Dallas, TX. Respondent, Kevin Keane, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: April 16, 2001 CASE SUMMARY: Claimant alleged that Respon

NASD Arbitration No. 95-02018 N.A-S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Audrey Lambert Name of Respor^ent: (a} Dunhill Equities, Inc. Meridian, Dunhill & Co., Inc. Erwirx Allen Forges Joseph Giulio Chiulli Phillip O. Gullo REPRESENTATION For Claimant: Martin Mushkin, Esq., New York, New York For Respondents; No Appearance By Respondents CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Fanner 95-02013 Name of Respondents Smith Barney Shearson, Inc. Philip R. Console, Jr. REPRESENTATION For Claimant, Robert Fanner ("Fanner"): Michael A. Hanzman and Michael E. Criden of Hanzman Criden Korge Hertzberg & Chaykin, Miami, Florida. For Respondents, Smith Barney Shearson, Inc, ("SBSI") and Philip R. Consol

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Terrence F. and Jaclyn L. Mascarenhas 95-02010 Names of Respondents Josephthal Lyon & Ross, Inc. Jim D, Poncha REPRESENTATION For Claimants Terrence F. Mascarenhas and Jaclyn L. Mascarenhas ("Claimants") appeared Robert A. Roseman, Esq. of the law firm Pillai & Roseman, located in New YoiJc, New York. For Respondent Josephthal Lyon & Ross, Inc. ("Josephth

STIPULATED AWARD BEFORE THE NASD ARBITRATION PANEL James Leroy Phillips and ) Louise Pace Phillips, ) Claimants, ) vs. ) 95-02006 Marion Bass Securities ; Corporation, Raymond James ) & Associates, Inc., and ) American Wealth Management, ) Respondents. ) CONSENT JUDGMENT American Wealth Management, Inc. ("American Wealth") , having filed a third party complaint against Thomas Rushton Baker ("Baker") in this arbitration, and the p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Matthew and Susan Brennan 92-01654 Name pf Respondents Shearson Lehman Brothers, Inc. Theresa Thompson Robert Fox REPRESENTATION Claimants Matthew and Susan Brennan appeared at the hearing without counsel. For Respondents, Shearson Lehman Brothers, Inc. ("SLB"), Theresa Thompson ("Thompson") and Robert Fox ("Fox"), Pau