N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Att^raiioa B^em Paiagon Capital Coipoiatioii 93-00102 Name of Jfotm J. Krany CASE SIIMMARY In a claim filed with the National Assodatwn of Securities Dealeta, Inc. on lanuafy 12,1993, Claimant Paiagon Capital Coiporation by and through their Assistant Compliance Ofiker, Jerome J. Scfawaizman, alleged that Respondent Jtohn Kenny was em^oyed 1^ Claimant in a xegisteied

Award NASD Regulation, inc. In the Matter of the .Arbitration Between; Beryn Hammil. Claimant vs. \ an Kasper & Company and John David Crockett. Respondent. Case Number: 98-04664 Hearing Site: San Francisco. C.-\ REPRESENTATION OF PARTIKS Claimant, Beryn Hammil, ("Claimant"): In Pro Per, 15 Tunnel Lane. Corte Madera. CA 94925. Respondent. Van Kasper & Company ("Van Kasper") and Respondent. John Da\ id Crockett. ("Crockett"): Kell> J. Vknnihan. Esq.. Keesa

NASD REGUL/.TION, INC. AWARD In ttie Matter of tiie Aititiration Between Mame nf Claimant Andrew J. Fauichild vs. Case No. 98-04890 Ka^^nf Respondent Ameritrade, Int. l>yPltF.W.NTATION Claunant Andrew J. Fairchild ("Claimant") appeared pro se. For Respondent Ameritrade, Inc. ("Respondent") appeared James A. Ricketts, Esq. and James J. Vihstadt, Esq. rACT TlWORMATION Claimant's Statement of Claun was filed on ^ecei^r 21 1^8.

Award NASD Regulation, Inc. In tbe Matter of the Arbitration Between: Edvrard A. Puchel (Claimant) vs. Axiom Capital Man^ement, Inc. And Sean I. Dalton, (Respoiui^its). Case Number: 98-4718 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Edward A. Puchel ("Puchel"), hereinafter referred to as "Claimants": Paul W. Thomas, Esq., Law Offices of Paul W. Thomas & Associates, Carlsbad, Califcmua. Respondents, Axiom Capital Management, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitridon Between: Charles H. Schoeffel, (Claunant) vs. Legg Mason Wood Walker, Inc., (Respondent) Case Number: 98-04361 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles H. Schoeffel, hereinafter referred to as "Claimant": Scott A. George, Esq., Sidkoff, Pincus & Green, P.C, Philadelphia, PA. Respondent, Legg Mason Wood Walker, Inc., hereinafter referred to as "Responden

IN ARBITRATION PROCEEDINGS BEFORE THE NATIONAL ASSOCIATION OF SECIJRITIRS DEALERS, INC. CHARLES SCHWAB & CO., INC.. a ) Arbltmrion No.: 98-00670 California Corporation, ) ] STIPULATED AWARD Chumant, ) vs. MANFRED CLYNES, Respondent. REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., was represented by Richard A. Karoly, located in San Francisco, California. Respondent, Manfred Clynes was in propria persona. CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ray L. Dashiell, (Claimant) v. Everen Securities Corp. n/k/a First Union Securities, Inc. and Richard Carter, (Respondents) Case Number: 98-03472 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIKS Claimant Ray L. Dashiell ("Dashiell"): Steven J. Rotunno, Esq. of the law firm Kubasiak, Cremieux, Flystra Reizen & Rotunno located in Chicago, Illinois. Respondent Ever

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS REGULATION. INC. CASE: 98-03370 GKN Securities Corporation, claimant vs. Norman Leventin. respondent. ATTORNEYS: Claimant. GKN Securities Corporation, appeared through its Director of Litigation, Katherine Nathan, Esq.. New York. NY. Respondent, Norman Leventin. Appeared Pro Se.. Wheatley Heights. NY. DATE FILED: 9/16/98 CASE SUMMARY: Claimant alleged that respondent failed to pay ou

N.A.S.D. REGULATION AWARD NATIONAL ASSOCUTION OF SECURITTFffS DEALERS REGULATION. INC. CASE: 98-03128 Olde Discount Corporation, claimant vs. John E. Lodter, respondent. ATTORNEYS: For Claunant Olde Discount Corporation ("Claimant"), appeared in-house counsel, Matdiew J. Boitos, Esq., Detroit, Michigan. Respondent John E. Lodter ("Respondent") did not respond to the Statement of Claun. DATE FILED: 08/27/1998 CASE SUMMARY: Claimant alleged that on Janu

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS ^ Matter of die Arbitration BetweeiT Name of riaimanf.^ Joseph E. & Margaret J. Milaitio Name nf Pi»gpr.nw^^^„ A.G. Edwards & Sons, Inc. J. Dewey Kolb, in W. Bmce Body 95-02774 REPRESF1VTATTr>^ '^^^^"^^X^^^^^^ NonnanMeye^of Pr-^yVA^^^^^^^ ~) 1. DeweyKolb, mCKoIb"), and Inc., St. Louis, Missouri. ^ ^' of A.G. Edwards & SoTs, CASE INFOPA/rAT^^i.^ Statement of Claim fded: Ju