N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James and Rose Mary Szappan 94-03778 Stephen M. O'Donnell Frank Ragusa gAgBWMMABY [n a claim filed with the National Association of Securities Dealers, Inc. on September 15, 1994, Claimants James and Rose Mary Szappan, who appeared Pro Se, alleged that Respoodents Stephen M. O'Donnell and Frank Ragusa, foiled to execute a sale

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Phillip D. Paulson 94^3777 Name of Respondent(s) Olde Discount Corporation Matthew N. Schechter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15, 1994, Claimant Phillip D. Paulson, through his representative, Robert M. Roth of Appl^on, WI, alleged that Respondents Ol

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Gary A. Papke Profit Sharing Keogh Plan, Ruth Ann Papke IRA, Gary Papke IRA and Gary Papke and Case Number 94-03774 Names of Respondents Stifel, Nicolaus & Company, Incorporated and Nicholas Fegen REPRESENTATION OF PARTIES Claimants, Gary A. Papke Profit Sharing Keogh Plan, Ruth Ann Papke IRA, Gary Papke IRA and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Mamitofnaimantrs^ Michael A. & Rachel A. DiGiuse{^ 94-03773 NameofResDondentfs> Frederick Feldman The Inyestment Center Inc. REPRESENTATION For Claimants, Michael and Rachel DiGiuseppe ("the DiGiusqppes"): Guy Bums, Esq. of Johnson, Blakely, Vope, Bokor, Ruppd ft Bums, P.A., Tanipa, Florida. For Respondents, The Investment Center, Inc. ("In

N,A.S.D. AWARD NA'nONAL AS80CUTI0N OF SECURITIES DEALEKS In the Maner of the AiUtratioD Between Name of glain^^ Bear Steams A Compoiiy, Inc. 94-03772 Alan SehiMf, individuaUy, and as Trusioo fDF the BverKieen Steel OMp. Poisioa Ttusi For Claimant, Bear Steams ft Compioy, Inc.. appeansd J. Todd Cook, Esq., in-houae ccwnsel for Bear Sleanii ft Company, Inc. iucated in New Yoik Chy, Nisw York. For ReepOfldeat, Alan Sehnor, individiMlly, and aa Tras

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stifel, Nicholas & Company, Inc. Claimant, and 94-03771 Charles W. Johnson, Respondent. REPRESENTATION OF PAHTIES Stifel, Nicholas & Company, Inc. ("Claimant") was represented by Rochelle S. Hall, Esq., St. Louis, Missouri. Charles W. Johnson ("Respondent") was represented by Lisa McKay, Esq., of Hall, Ansley, Rodgers & Condry, Springfiel

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Jn the Matter of the Arbitration Between Name of Claimant R.G. Stewart and NASD Case Number: 94-03766 Name of Respondent Green tEH Financial Service Coip. REPRESENTATION OF PARTIES R.G. Stewart ("Chumant") was represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss, P.C, Bingham Farms, Michigan. Green Hill Finandal Services Corp. ("Respondmt") was represented by D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Ruth P. Dorr 94^3765 NamenfResnondent Prudential Securities Incorporated For Clainiant: Ruth P. Dorr ("Dorr") was represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Pamell, P.C., located in St. Clair Shores, Michigan. For Respondent: Prudential Securities Incorporated ("Prudential") was represented by Patrick Gaffney, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Chaker Dahan, Claimant v. One Financial Network, LLC, Respondent Case Number: 01-04447 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Claimant, Chaker Dahan: Neal J. Blaher, Esq., Orlando, Florida. For Respondent, One Financial Network, LLC: Revan R. Schwartz, Esq., General Counsel and Executive Vice President. CASE INFORMATION Statement of Claim filed: Aug

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04440 David T. Evans, claimant vs. Josephthal & Co. f/k/a Josephthal, Lyon& Ross, William F. Welsh, Patrick Donahue, and Michael Donahue, respondents. ATTORNEYS: For Claimant appeared David P. Evans, Esq., West Seneca, NY. For Respondents appeared in-house counsel, John Bersin, Esq., New York, NY. DATE FILED: August 20, 2001 CASE SUMMARY: Claimant alleged that respondents failed to