N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stan T. Alwani Name of Respondents J.W. Gant and Associates, Inc. Donald Seung Han 93-00048 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Stan T. Alwani, who appeared Pro Se, alleged that Respondent Donald Seung Han, while employed by the Respondent firm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Michael Dina No. 93-00045 Name of Respondent Hamilton Investments, Incorporated REPRESENTATION OF PARTIES For Claimant: Steven A. Greenberg, Esq., Chicago, Illinois. For Respondent: Rosemarie J. Guadnolo, Esq. of Horvath & Lieber, P.C., Chicago, Illinois. CASE INFORMATION Statement of Claim filed on or about: January 4, 1993. Claimant's Submission Agreement si

JUL-27-1994 16:29 FROM NflSD-fiRBlTRfiTlON-CNICAGD TO M-H-M 09: IBM JfkOH Him LEGAL TO 92363239 12123583974 P.02 PCQ2/OG9 TOIS SETTLEMENT , jyy and between Ranger and Howard I. Waineto corporation organised afiU AGIO 5EMERTC i£ made this day of Nbvenfoer, Securities, inc. (aereitflHft I igr' 4 ^KSI'') ;iiereiaa£ter "Weinateia H ). KSI is a existing imder the laws of t'ao State of A. KSI asa«rt:Qd cl^iroe asiai

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Byron T. Hill Name yf Respondents Prudential Securities, Inc. Ronald J. Riley 93-00042 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Byron T. Hill, who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. and Ronald J. Riley re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James W. and Joan T. Ashton Name of Respondents Allied Capital Group, Inc. Bruce H. Chandler 93-00041 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1993, Claimants James W. Ashton and Joan T. Ashton, who appeared Pro Se, alleged that Respondents Bruce H. Chandler and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Pamela Hanson 93-00037 Name of Respondents A.S. Goldman & Co. and Gene Phillips REPRESENTATION OF PARTIES For Claimants at the hearing: Pro Se. For Respondent, A.S. Goldmen & Co. at the hearing: Lena Liberatore, Esq. of Bachner, Tally, Polevoy & Misher, New York, New York. For Respondent, Gene Phillips at the hearin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mamp nf Tanya L. April; and James H. Fipps Case No. 00-05304 of Respondents Richard M. Politte; Smith, Moore & Co.; and Thomas J. Davidson Hearing Site- St. Louis, Missouri Claimants Tanya L. April ("April") and James H. Fipps ("Fipps") were represented by David N. Damick, Esq. of St. Louis, Missouri. Respondents Richard M. Politte ("Politte") was repres

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John T. Higgins 93-00036 Name of Resoondent Marion Molenda CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant John T. Higgins, who appeared Pro Se, alleged that he was first introduced to J.W. Gant & Associates when he purchased a munibond for $1,000.0

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas E. Canfield Name of Respondents Edward S. Schlichting Rio S. Vitale 93-00034 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Thomas E. Canfield, who appeared Pro Se, alleged that Respondents Edward S. Schlichting and Rio S. Vitale of Scottsdale Secu

P!»O| » uu N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Gregory R. Viola 93-00032 Name of Respondentfs) A.S. Goldmen & Co. Gerardo Salazar REPRESENTATION For Claimant: Christopher C. Fountain, Esq. For Respondent A.S. Goldmen & Co.: Carole Bernstein, Jr., Esq. of Bachner, Tally, Polevoy & Misher. For Third-Party Respondent Gerardo Salazar: Christopher E.