N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SECIMTIES DEALERS In the Matter of the Arbitration Between Name of Claimants American Express Financial Advisors, Inc. IDS Life Insurance Co. 95-05141 Name of Respondent Adam J. Korejsza CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 30, 1995, Claimants American Express Financial Advisors, Inc. ("AEFA"), and IDS Life Insurance Co. ("IDS"), (collecti

NASD AWAIU) NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Prudential Securities, Inc. Claimant, v. No. 95-05133 Tertance Roddy Respondent. REPRESENTATTON OF PARTIES Claimant Pmdential Securities, Inc. was represented by Steven P. Gomberg, Esquire of Gomberg, Kane & Fischer, Ltd. located in Chicago, IL. Respondent Terrance Roddy was represented by Thomas H. Boyd, Esquire of Winthrop & Weinstine, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECIJRITIF.S DFALHRS. TNC. In the matter of the Arbitration Between Name of Clamiant Caroline Carlyon-Coates NASD Arbitration No. 95-05124 Name of Respondent/Third-Partv Claimant Torrey Pines Securities, Inc. Name of Third-Partv Respondent Richard Coates REPRESENTATTON For Clahnant: Robert A. Uhl, Esq. Aidikoff & Uhl Beverly Hills, California For Respondent: Eileen L. McGeever, Esq. Rushal

........l; AWARD NATIONAL ASSOCIATION OF SECL'RITIES DEALERS In the Matter of the Arbitration Between 95-05120 Name of Claimant Louis Idrobo Name of Respondent Paragon Capital Corporation Name of Counterclaim Claimant Paragon Capital Corporation Name of Counterclaim Respondent Louis Idrobo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1995, Claimant Louis Idrobo ("Claimant"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roderick Y. Bone 95-05118 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1995 Claimant Roderick Y. Bone ("Claimant"), who appeared Pro Se, alleged Uiat Respondent Olde Discount Corporation ("Respondent") failed to carry out his in

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Paul M. DeFinis 95-05074 Name of Respondents Sean T. Mannello Daniel Petronelli Victor Samaha L.C. Wegard & Co., Inc. REPRESENTATION Claimant Paul M. DeFinis ("Claimant") was represented by Steven M. Dranoff, Esq., Dranoff and Perlstein Associates, Philadelphia, PA. Respondent Sean T. Maimello ("Marmello"

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leonid Malinin 95-04870 Name of Respondent Diraitry Aranovich CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1995, Claimant Leonid Malinin ("Claimant"), who appeared Pro Se, alleged Uiat Respondent Dimitry Aranovich ("Respondent") recommended that he invest in Leak-X Warrant

N.A.S.D. AWARD NATIONAL ASSOaATION OF SECURITIES DEALERS In the Matter of the ArUtrittlon DctwRAn Robert S. Copelaod Case Number 95-04869 Smith Bamoy, Inc. Louis Leogrande, Jr. Dean Witter Reynolds, Inc. For Claimant Robert S. Copeland (hcictnato referred to as "claimant" or "Copeland") and Dean Witter Keynolds, Inc. (hereinafter refenud lo as "Dean Witter" or "third-party respondent") appeared James L. Sonncbom, Esq., Syracuse, New York. For

N.A.S.D. AWARD NATIONAL ASSOCIAfriON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ot" Claimant(s) Vincent J. & Abigail B. Brigandi 95-04690 Name of Respondent(s) Rickel & Associates J. Michael Sedlak CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1995, Claimants Vincent J. and Abigail B. Brigandi, who appeared Pro Se, alleged that based on Respondent Michael Sedl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between' Name of Claimants Elizabeth Lee Vliet, MD, P.C. Defined Benefit Plan, „. HER Place Money Purchase Pension Plan, "" HER Place Profit Sharing Plan, Gordon Cheesman Vilet ERA, and Elizabeth Lee Vliet IRA and 01-06392 Tucson, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Stanley E.Edwards j REPRESENTATION OF PARTIES Elizabeth Lee Vliet