AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbifration"Bii^i^^ Lucinda D. Payne, The Estate of Sanl K. Payne, and The Lucinda D. Payne Revocable Living Tmst Claimants, A.J. Hardy, Case Number: 95-02770 Paragon Capital Corporation, and GKN Securities Corporation Respondents. Bi^^MIATION OF PAPTTirc Claimants Lucinda D Pavne Thp P * • Uvbig Trust (collectively rrfejl to M Tto^'J!'"^ ^"^'"'^ ^ P'^ne Revo

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Marie Yeager 95-02653 Name of Respondents Wheat First Securities, Inc. Mary P. Ross REPRESENTATION Claimant Marie Yeager ("Claimant") was represented by Edward M. Collms, II., Esq., Reading, Pennsylvania and J. Scott Kramer, Esq., Duane, Morris & Heckscher, Philadelphia, Pennsylvania. Respondents Wheat First Secu

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Guido Lavorata, and Donna Lavorata, Claimants, No. 95-02650 Olde Discount Corporation, and David Block, Respondents. REPRESENTATION OF PARTIES Guido Lavorata, and Donna Lavorata ("Claimants") were represented by Guido Lavorata, of Chandler, Arizona. Dorma Lavorata did not appear at the hearing. Olde Discount Corporation, and David Block

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara F. & Daniel B. Michie 95-02649 Name of Respondent Legg Mason Wood Walker, Inc REPRESENTATION Claimants Barbara F. and Daniel B. Michie ("Claimants") appeared at the hearing pro se. Respondent Legg Mason Wood Walker ("Legg Mason") was represented by Dana N. Pescosolido, Esq., Weinberg and Green, L.L.C., Baltimore, MD.

NASDAWASD NATIOKAL ASSOCIATION OF SECUKniES DEALERS, INC. In the Matter of the ArMtaation Between CheiyiMdfitnigiit ' and NASD Case Number 95-02607 NanwftfyiwpfiadsBts Geoffi>7 Nofria Thon^son Cbon)aM< ^ijciyiMcKagM'^ David M. Black, Esq. of Sommers, Sdiwaitz, Silver &j Schwartz,. P.O., Southfield, Michigan. Re^onidejitB'Olde I^scount Corp. and GeofB:^ Nonis Tbotapsoa were rqnesented by lisa S. Filde^ E^. dT (Mde Discount Corp., Detroit, Nfich^

NASD Arbitration No. 95-02431 N.A.S.D. AWARD NATinNAT. A.S.SnrTATTnN OF .SFrTTRTTTF*; DFAT FR.«; TNr In the matter of the Arbitration Between Name nf Claimant The Casella Trust Name nf Respondent!; Oppenheimer & Co., Inc. and William Bow REPRESENTATTON For Claimant: Joel Mark, Esq. Plotkin, Marutani & Kyriacou North Hollywood, Califomia For Respondents: Eugene L. Small, Esq. Oppenheimer & Co., Inc. New York, New York CA.SE

3 N.A.S.D. AWARD NATIONAL ASSOCIA-nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Andrew D. Wagner and Jeanette A. Wagner 95-02424 Name of Respondents L.C. Wegard 8c Co., Inc. Patrick Mueller REPRESENTATION For claimants Andrew D. Wagner and Jeanette A. Wagner ("claimants") appeared Roger W. Van Deusen, Esq. of the law firm of Gaines 8c Stem located in Cleveland, Ohio. ^ Respondents L.C. Wegard & Co

NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In Che Matter of the Arbitration Between Name of Claimants Earl L. Rider Pauline E. Rider David Rider Barry Rider 95-02418 Name of Respondents Legg Mason Wood Walker, Inc Dale A. Waters REPRESENTATION For Claimants Earl L. Rider, Pauline E. Rider, David Rider and Barry Rider ("Claimants"): Mr. Earl Rider. For Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") and Dale A. Wa

N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert C. Bonds 95-02410 Name of Respondent Paul D. Hamm CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1995, Claimant Albert C. Bonds ("Claimant"), who appeared Pro Se, alleged that Respondent Paul D. Hamm ("Respondent"), refused to return his phone call concerning a transfer o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber Incorporated 95-02393 Name of Respondent Fernando S. Garcia REPRESENTATTON For Claimant: PaineWebber Incorporated ("PaineWebber") was represented by James L. Komie, Esq. of Scuyler, Roche 8c Zwimer, located in Chicago, Illinois. For Respondent: Fernando S. Garcia appeared pro se. CASE INFORMATION Statement of