N.A.S.D. AWARD NATTONAT. A.< !.< ;nrTATTnN DF .SFPTTRTTTFj; DFATFR-S. TNr In the matter of the Arbitration Between Name nf Claimant(s) David L & Dolores A. Riggs Mame nf RespnndentCs) Shelley A. Jones, Jr., and Chatfield Dean & Co., Inc. NASD Arbitration No. 94-05172 REI»WF.SF.NTATTniV For Claunants David L. Riggs & Dolores A. Riggs: In Pro Per For Respondent Chatfield Dean & Co.: Christa Taylor, Esq. For Respondent Shelley A. Jones, Jr.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Scott W. Roberts and 94-05168 Name of Respondent Charles Schwab & Company, Inc. Scott W. Roberts ("Claimant') was represented by Kennedi A.E. Roberts, Esq., Denver, Colorado. Charles Schwab & Company, Inc. ("Respondent"") was represented by Holly Sollod, Esq., Holland & Hart, Denver, Colorado. CASE INFORMATION The Stateme

NASD Arbtoration No. 94-05163 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Allan M. Unger v. Name of Respondents Gene L. Roach. Wilshire Discount Securities and Ralph T. Lachman REPRESENTATION For Claimant: Allen M, Unger, In Pro Per For Respondent Gene L. Roach: No Appearance For Respondent Wilshire Discount Securities: No Appearance For Respondem Ralph

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geraldine W. Page Award No. 94-05160 Jim Nickley In a claim filed with the National Association of Securities Dealers, Inc. on December 8, IS)94 Claimant, Geraldine W. Page, who appeared Pro Se, alleged that Respondent, Jim Nickley, made misrepresentations in sale of securities. Claimant further alleged tliat she met with Respo

NASD. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the /Arbitration Between Name of Claimant Linsco/Private Ledger Corp. 94-05159 Name of Respondent Michael B. Chamberlain CA^E31IMMARY In a claiin tiled with the National Association of Securities Dealers, Inc. on December 8, 1994, and an additional submission dated May 3!, 1995, Claimant Linsco/Private Ledger Corp. ("LPL"), through its in-house i;ounsel David J. Freniere,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Stillman & Nancy Goodman and 01-04274 Phoenix, Arizona Name of Respondents Charles Schwab & Company, Inc. Young Capital Management, Inc. R. Mitchell Young REPRESENTATION OF PARTIES Stillman & Nancy Goodman ("Claimants") were represented by James A. Shalvoy, Esq., Manhattan Beach, California. Charles Schwab & Company, Inc. ("Respondent Schwab"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant S. C. Kwatra 94-05157 National Discount Brokers Joe Albergo Brian Stevens £AIE SUMMARY In a claim tiled with the National .Association of Securities Dealers, Inc. on December 8, 1994, Claimant S. C. Kwatra, who appeared Pro Se, alleged that on or about .August 17, 1994, he received a confirmation for the purchase of 1,000 s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mamft nf rj^ipiant Leonore Lanzillotti 94-05135 Name of Re^ndent Kirlin Securities Inc. REPRESENTATION Claimant Leonore Lanzillotti ("Claimant") appealed pro se. For Respondent Kiriin Securities, .Inc. ("Respondent") appeared Randolph A. Bartholme, a compliance officer of Kirlin Securities. Inc. Statement of Claim filed: November 30, 1994.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Namg of Claimam(s) Saeed Kohanoff, Roya Satbani Kohanoff. Babak Kohanoff and Kohanoff-Arco NASD Arbitration No. 94-05128 Name of Respondgntfs) Prudential Securities. Inc. and Abdolali Afshar For Claimants: For Respondents: Statement of Claim filed: REPRESENTATION Leonard Steiner, Esq. Steiner & Libo Beverly Hills. Californ

NASD AWARD NATIONAL ASSOCTATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Brenda Vanderslice. and Smith Barney, Inc., Claimants/Counterrespondent V. No. 94-05127 Commerce Investment Corporation. Respondent/Counterclaimant. REPRESENTATION OF PARTIES Brenda Vanderslice ("Vanderslice"), and Smith Barney, Inc. ("SBI") (or jointly referred to as "Claimants") were represented by Earle J. Schwartz, Esq., of Warring Cox, M