NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between E^van Gamini Claimant, V. Lombard Institutional Brokerage, Inc. NASD No. 94-2188 Respondent. Representation For Claimant: Ravan Gamini, Pro se, Cupertino, California For Respondent: Andrew Wilson, Esq. of Wilson. Ryan & Campilongo, San Francisco, California Case Information Statement of Claim filed: December 5, 1994 Claimant's Submission

NASD AWARD NATIONAL ASSOCIATION OF SECURHIES DEALERS, INC In the Matter of the Arbitration Between Mark Lowery and NASD Case Number 94-02066 PaineWebber. inc. and Chad Johnson REPRESENTATION OF PARTIES Claimam, Mark Loweiy was represented by W. Bradford Sherman, Esq. and Victor A. Fleming, Esq. of Gill Law Firm located in Little Rock, Arkansas. Respondents, PaineWebber, Inc. and Chad Johnson were represented by Gary D. Jiles, Esq. and Thomas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimam George A. Kontos Case No. 94-02036 NameofRmondent& Scott Stephen McGough Paul E. Pinholster Barry D. Tull Schneider Securities, Inc. REPRESENTATION For Claimant, George A. Kontos ("Kontos"): Pro Se. For Respondents, Scott S. McGough ("McGough") and Paul E. Puiholster ("Pinholster"): Pro Se. (see "Other Issues") F

NATIONAL ASSOCIATION OF SECURITIES DEALERS _ 94 -01966 **7t;^'J •; f p"sr';rini.'^'Tnt7. g ::ean W: tr.rr- Reyr.cl'is, Zn-z. Ir. A -rlair. tiled viih the National Association of Securi-ies neaJL-3r?, Ir.c. on May 25, 19?4, Claimants Stanley R. and Verna L. Ezzell, w:io arpoared Fro Se, alleged that Respondents Dean Witter Reynolds, Z:.'-:. • "DV7R" ^ and James Mabbut- (-'Kabbutt" i , nade T.iI-r'ipr-rs^:ir-a-:ior.s" -"id

N.A.S.D. AWARD NAUONAL AssocunoK OF SECURIIIES DEALERS In Che Matter of the AzUtiatiim Between WamgflfMiMiH Maitin Scott Mauri Case No. 94-01960 Olde Discount Coipoiation Edward Brian "Ted" Haiter For CUimant, Martin Soott Mauri ("Mkuri"): Clifford J. Hunt, Esq. of Riden, Earle ft Kieftier, P.A. St. Pelerabuis, Florida. For Rsqxmdeots, Okie Diicouac Coiporstion ("Okie"), and Edward Brian "7^" Hacter ("Haiter"): Ftands R. Oitiz, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimantfs) John A. and Diana R. Fitzgerald 94-01942 NameofResDondentfsl InvestNet Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1994, Claimants John A. and Diana R. FitzgenUd, who appeared Pro Se, alleged that Respondent InvestNet Coiporation failed to execute a transaction for t

N.A.S.D. AWARD NATIONAL ASSOCL^nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimante Douglas H. Gordon and Jessie S. Gordon 94-01888 NflmenfResnondem Quick and Reilly, Inc. REPRESENTATION For Claimants: Douglas H. and Jessie S. Gordon ("Gordons") appeared pro se. For Respondent: Quick and Reilly, Inc. ("Quick & Reilly") was represcmed by Nicholas J. Chopey, Esq. of Quick and Reilly, Inc., located in New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Ari^itration Between Name of Claimants T. W. Jockisch 94-01841 NameofResDOndentfs^ Hanover Sterling & Co. Ltd, Lowell Schatzer Christian Girodet REPRESENTATION The Claimant appeared pro se. The Respondents Hanover Sterling and Co., Ltd. and Lowell Schatzer filed an Answer through their counsel, M. David Sayid, Esq. of Sayid and Associates, New York, NY. bu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants GKN Securities Coip. '94-01836 Alan Messina CASE SVMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 16, 1994, Claimam GKN Securities Cbip., through its in-house counsel Katherine Nathan, Esq., New York, New Yoiit, alleged that Respondem Alan Messina commenced employmem with Claimant as a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ID the Matter of the Aibitratioii Between Wanwflfghimam Hanulton Ihveslmcms, Inc. 94^1806 NameofRemondent Scott Michael Ree CASE SUMMARY In a claim filed with the National Association of Securities Dealers, loc. oa May 16, 1994, Claimant, Hainiltion Ibvestoiems, Inc., thtough its tepiesemative, Steven P. Qombefg, Esq., of Siegan, Baibakoff, Gomberg and Kane, Ltd., of Chicago, IL. alle