NATIONAI. ASSOCIATION OF S^:CLfRITIES DEAI.KRS In the Mailer oC the Arbitration Between Name of Claimants Douglas C. Lindgren. Donna M. Mattson, Wayne K. Clausen, Thomas King and Nicole King 94-02786 (C(>nst>lidatcd with 04-3577 & 3851J ffldents Paul Richard Lewis, Hamilton Investments. Inc., and Craig Hallum, Inc. Paul Richard Lewis, Hamilton Invcsiincnls, Inc.. and Craig Halhim, Inc. Name of C»unterespondent.s Douglas C. Un

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norman J. Bona 94-02784 Name of Respondem Philip Giovannelli CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1994, Claimam Norman J. Bona, who appeared Pro Se, alleged that Respondent Philip Giovannelli failed to execute a sale of stock for him. Claimant fuither aUeged that, pursuant to Respondent

NASD REGULATION AWARD NASD REGULATION, INC. OFHCE OF DISPUTE RESOLUTION In the Matter ofthe Arbitration Between Name of Claimam Katherine McCurry and NASD Regulation Case Number: 94-02781 NameofRfiSOondemg Hamilton Investmem Company Daniel E Webb MomeKom Richard Womack Norton Stem REPRESENTATION OF PARTIES Qaimant Katherine McCuny ("Oaimam") was represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss, P.C. loca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namenfnaimam Joyce J. Ryan, formerly known as Joyce J. Woody 94-02779 NamenfRemnndents A.G. Edwards & Sons, Inc.; James T. Wormley REPRESENTATION For Claimam: Joyce J. Ryan, formerly known as Joyce J. Woody ("Ryan"), was represented by Anhur M. Holtzman, Esq. and Thomas F. Sax, Esq. of Pederson & Haupt, located in Chk:ago, Illinois. For

N.A.S.D. AWARD NAnONAL ASSOCIATION OF SECURTTIES DEALERS In the Maner of the Arbitration Between Name of Claimant Alvin Donius 94-02773 NameofResoondem Westfalia Investments, Inc. MTOESENTATinN For Claunam Alvin Donius ("Claimant") appeared Michael G. Shannon, Esq. fixMn the law firm of Phillips, Lytie, Hitchcock, Blaine A Huber located in New York, New York, For Respondem West£alia Divestments, Inc. ("Respondem") appeared Bve Rachel Maikewi

N.A.S.D. AWARD NATIONAL ASSOCLiTION OF SECURFTIES DEALERS In the Matter of the Arbitration Between Name of Claimant WGTC Limited Parttiership 94^2769 Names of Respondents Signal Securities, Inc. and Southwest Securities, Inc. (Vohmtarily Dismissed by Claimant Before Hearing) REPRESENTATION Claimam, WGTC Limited Partnership was represented by Hamilton Rial, Esq. of Harrison & Rial, L.L.P., Austin, Texas. Respondem, Signal Securities, Inc.

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimam James Friscia 94-02768 Name of Respondem Citicorp Investmem Services Claimant, James Friscia, appeared pro se. For Respondem, Magdy Tadros, of Citicorp Investmem Services, New York, NY CASE INFORMATION Statement of Claim filed: July IS. 1994 Claimant's Submission Agreemem signed on: July 14, 1994 Statement of Answer filed: Oc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimam Patricia McCutcheon 94-02764 ^ame of Respondents Olde Discoum Corporation Thomas Francis Mullen, Jr. REPRESENTATION For Claimant. Patricia McCutcheon("McCutcheon"): John C. Russell, Esq. of Kroll & Tract, New York, NY. For Respondents, Thomas Francis Mullen, Jr. ("Mullen") and Olde Discount Brokerage Corporation ("OLDE")

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS Id the Matter of the Aibitration Between NameofClaimantfs^ David N. Pierson and Janeen D. Pierson 94-02754 A.S. Goldmen & Co., Inc. Charles Joseph Principato, Jr. CASE SUMMARY In a claun filed with the National Association of Securities Dealers, Inc. on July 15, 1994, Claunams David N. and Janeen D. Pierson, who appeared Pro Se, alleged that Respondent Charles Principato of the Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between l^tflme of Claimant Michael Zuppardo 94-02753 ^ia^lffgfRfiaro^dcm Olde Discount Corporation For Claimam: Michael Zuppardo ("Zuppardo") was represemed by David K. Hall, Esq. of Stone, Pigman, Walther, Wittman & Hutchinson, L.L.P., located in New Orleans, Louisiana. For Respondent: Olde Discoum Corporation ("Olde") was represented by Ina N. Otto, Esq