N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph McConnell 95-05641 Name Shelly Jones Chatfield Dean & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1 „ 1995 , Claimant Ralph McConnell ("Claimant"), who appeared Pro Se, alleged that Respondents Chatfield Dean & Co., Inc. ("Chatfield Dean") and Shelley Jon

NASD Regulation, Inc., Award In the Matter of Arbitration Between Ronnie D. and Peggy L. Foster and Patricia M. Padgett, Claimants, and Cheryl Rodgers, Respondent. No. 95-05639 REPRESENTATION OF PARTIES Claimants, Ronnie D. and Peggy L. Foster (hereinafter, tfc the Fosters") and Patricia M. Padgett ("Padgett") were represented by Bill Boyd, Esquire of Boyd & Veigel, located in McKinney, Texas. Respondent, Cheryl Rodgers ("Rod

95-05635 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants James Lederman; Kathleen Lederman; and Steve Belke Name of Respondents John N. Salerno; Joseph Roberts & Co, Inc. REPRESENTATION OF PARTIES For Claimants: Claimants James Lederman, Kathleen Lederman ("Ledermans") and Steve Belke ("Belke") were represented by Donald M. Thompson, Esq., located in Chicago, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Name of Respondent Mark J. Nelson NASD Arbitration No. 95-05624 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: Michael Kraft, Esq. Gomberg, Kane & Fischer, Ltd. Chicago, Illinois Kevin J. Moore, Esq. Pasadena, California CASE INFORMATION N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack D. Cooper 95-05616 Name of Respondent Nations Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29, 1995, Claimant Jack D. Cooper, who appeared Pro Se, alleged that he was "pressured, misled, and wasn't told of the potential pitfalls associated with his investmen

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carole B. Potar 95-05608 V Name of Respondent Greenway Capital Corporation John LaBeck REPRESENTATION For Claimant Carole B. Potar ("claimant") appeared Henry H. Korn, Esq. of Kensington & Ressler, P.C. located in New York, NY. For Respondent Greenway Capital Corp. ("Greenway") appeared Ruthann Niosi, Esq.

N.A.S.D.-AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald H. Ward Alfred V. Cognetti 95-05595 Name of Respondent Pruco Securities Corp. REPRESENTATION For Claimants, Ronald H. Ward ("Ward") and Alfred V. Cognetti ("Cognetti"): Allan J. Fedor, Esq. and Franell Fedor, Esq., Fedor & Fedor, of Largo, Florida. For Respondent, Pruco Securities Corp. ("Pruco"): Michael A. Schlang

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation 95-05593 Name of Respondents Lascelies Alexander Knight Theodore Andrew Werner i CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29, 1995, Claimant Paragon Capital Corporation ("PCC"), through its representative and in-house counsel, Michele

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Matthew B. Proman 95-05581 Name of Respondents Stephen Palumbo Karen Zanger Hie Harriman Group, Inc. REPRESENTATION For Claimant Matthew B. Proman ("Claimant") appeared Anthony J. Horn, a sole practitioner with offices in Philadelphia, Pennsylvania. For Respondents Stephen Palumbo ("Palumbo"), Karen Zanger ("Zanger"), an

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Renee Bathe and 01-01104 Scottsdale, Arizona Name of Respondents North Coast Securities Corp. Frank A. Katona REPRESENTATTON OF PARTIES Renee Bathe ("Claimant") was represented by David C. Anson, Esq., Anson Lammers, P.C., Tucson, Arizona. North Coast Securities Corp. ("Respondent North Coast") and Frank A. Katona ("Respondent Katona")(c