N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard P. Dwyer m 93-04598 Name of Respondents InterSecurities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Nov. 2, 1993, Claimant Richard P. Dwyer HI, who appeared Pro Se, alleged that on July 7, 1993, he directed his broker at Respondent InterSecurities, Inc. to sell 300

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rick Gaines 93-04584 Name of Respondents F.N. Wolf & Co,, Inc. Michael O'Brien John J. Pocock, HI CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 2, 1993, Claimant Rick Gaines, through his representative J. Pat Sadler, Esq. of Sadler & Associates, Atlanta, Georgia, al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John A. and Elizabeth J. Feroli 93-04576 Name of Respondents Ferris, Baker Watts, Inc. Eugene Kurowski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 3, 1993, Claimants John A. and Elizabeth J. Feroli, who appeared Pro Se, alleged that Respondent Ferris, Baker Watts, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank K. and Elizabeth Parietti 93-04517 Name of Respondents Chatfield Dean & Co., Inc. Kenneth Clark CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 1, 1993, Claimants Frank K. and Elizabeth Parietti, who appeared Pro Se, alleged that Respondents Kenneth Clark and Chatfi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marlene C. Rutkowski 93-04506 Name of Respondents Olde Discount Corporation J. Scott Treilo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 29, 1993, Claimant Marlene C. Rutkowski, who appeared Pro Se, alleged that she purchased 200 shares of Georgia Power preferred stock

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert & Debra Dourly 93-04487 Name of Respondents Hibbard Brown & Co., Inc. Russell Myrick CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1993, Claimants Robert and Debra Dourty, through their counsel Gregory D. Kincaid, Esq., Olathe, Kansas, alleged that Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel J. Lehman 93-04484 Name of Respondent Thomas Lonergan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1993, Claimant Daniel J. Lehman, who appeared Pro Se, alleged that Respondent Thomas Lonergan advised him to invest his savings in Sheffied Industries, which was not

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Name of Claimant VIRGINIA K. SIMPSON CASE No. 93-04472 v. Name of Respondents IDEAL SECURITIES, INC., HI-TECH RESOURCES, INC., DONALD RAY TYNER, JR., & GREGORY ALAN REED REPRESENTATION For Claimant, Virginia K. Simpson ("Mrs. Simpson"): Allan J. Fedor, Esq. of Fedor & Fedor, of Largo, Florida. Respondents, Ideal Securi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03736 Charles Schwab & Company, Inc. t Claimant vs. Mario Santangelo, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Richard A. Karoly, Esq., San Francisco, CA. Respondent did not respond to the Statement of Claim DATE FILED: August 28, 2000 CASE SUMMARY: Claimant inadvertently transferred 1000 shares of Oracle Corp. stock, which was sold one week prior caus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Stoyka & Connie Stoyka, JTWROS 93-04450 Name of Respondents Paragon Capital Corporation Richard McGuire CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1993, Claimants John and Connie Stoyka, who appeared Pro Se, alleged that Respondents Paragon Capital Corporatio