-NASPAWARD NASD RBGULA'nON, INC. In tfae Matter of die Arbitratkm Between George A. Casazza Cario Kyprkis 94^)4554 (conwdMlates widi 96-00510) Ni Josqditiial Lyon & Ross Inc. James Francis Lowe For Qaunants, George A. Casazza ("Casazu"), and C^lo M. Kyprtos (Kyprios) (collectivdy, "daimants") aiqieaied, Daniel E. Katz, Esq., fhmi the law firm of Pressman A Associates located ui New Yoric, New York. For Respmideots, losqihfhal Lyon &

N.A.S.D. AWARP NATIONAL ASSOCIATION OF SECURITIES DEALERS, TNC In the matter of the Arbitration Between Name of Claimant Chester F. Christensen NASD Arbitration No.94-04551 Name pf Respondents Sutro & Company, bic. Jesse A. Aguilar REPRESENTATION For Claunant: Chester F. Christensen, Spring Valley, Califomia For Respondents: Donald C. Miller, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, Califomia CASE INFORMATION Stateme

NASD Arbitration No. 94-04550 NASD. AWARD NATTONAT. A.< !.< ;nrTATTnN OF .SFrTTRTTTRS HFAT FW.S TNC In the matter of die Aibitration Between Name nf riaimants Richard M. Jimmink Anita C. Junmink, Trustees of the Jimmink Trust, Dated 3/14/90 Name nf Respnndentjt Southern California Securities, Inc. Robert Corey RFPRRSFNTATrON For Claimants: Mtehael L. Paule, Paule Financial Corp., Woodland Hills, California For Respondent: R

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Albert J. Feld, Daniel B. Levin, Michael Becky and Robin Becky and 94-04538 Name of Respondent Olde Discoimt Corporation REPRESENTATION OF PARTIES Albert J. Feld, Daniel B. Levin, Michael Becky and Robin Becky (collectively as "Claimants") were represented by Donald T. Trinen, Esq. and John McBride, Esq., Hart & Trinen, Denver, C

94-04535 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Prasanna. L. Soni Name of Respondents Paragon Capital Corp. Harvey Nelson REPRESENTATION Claimant Prasanna L. Soni ("Claimant") was represented by Matdiew Yackshaw, Esq., Day, Ketterer, Raley, Wright & Rybold, Canton. OH. Respondents Paragon Capital Corp. ("Paragon") and Harvey Nelson ("Nelson

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Barry J. Darvin, Claimant, Case Number 94-04534 A.G. Edwards & Sons, Inc., Sarah Rosner, JefFDoud, and CaryBerzk, Respondents. REPRESENTATION OF PARTIES Claimant Barry J. Darvin ("Claunant") was represented by William A. Roy, Esq. of Roy, Shecter & Vocht, PC. located in Bloomfield Hills, Michigan. Respondents AG. Edwards & Sons, Inc. ("A

N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith B. Powell 94-04531 Name of Respondents Titan Value Equities Group, Inc. David D. Carroll In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1994, Claimant Edith B. Powell, through her representative, Robert M. Roth, Esq., of R.M. Roth & Associates, in Appleton, WI., alleged that

N.A.S.D. AWARD NA'llONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome Smith Name of Respondent Ronald G. Ray 94-04528 gENTATIOf Claimant Jerome Smith ("claimant") appeared pro se. Neither respondent Ronald G. Ray ("respondent") nor any representative of his appeared at the hearing. CASE INFORMATION Claimant's Submission Agreement was signed on October 20, 1994 and the Statement of Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hame-Q£ jh^C] flirfl flnt rasp Number- 01-04343 Matika, LLC H^aripg-Site: Dallas, Texas Salomon Smith Barney, Inc. O Claimant Matika LLC ("Matika") was represented by Gordon M. Shapiro, Esq., with the firm of Jackson Walker L.L.P. located in Dallas, Texas. Respondent Salomon Smith Barney, Inc. ("SSB") was represented by Etta M. Gumbs, Esq., with Salomon Smith Barney, Inc

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Lloyd Kemp 94-04527 Name of Resoondentf s> John C. Astori Securities America Inc. i CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1994, Claimant Lloyd Kemp, through his representative, Robert M. Roth of R.M. Roth & Associates, Inc., Appleton, WI, alleged that R