N.A.S.D. .AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara B. Lindsey 95-02598 NameofResDondentrs) Olde Discount Corporation Frank A. McKinney CASE SUMMARY In a claim filed with die National Associatioa of Securities Dealers, Inc., on May 30, 1995, Qaimam Barbara B. Lindsey, through her representative. Dr. Jonathan A. Lindsey ("Lmdsey"), who hadia power of attom^ over fate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant Stifel, Nicolaus & Co., Inc. 9S-02S93 James Sworske CASEStJMMAttY In a claim filed with the National Association of Securities Dealers, Inc. on May 30, 1995, n^iiwMit Stifel, Nicolaiis &. Co., Inc. ("aaimaQt"). through its repreaeotative and in-house connsd, Nfichael h Runzi. Esq., alleged that Respondent James Swonke ("Re^iondeDt"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: HD Brous & Co., Inc., (Claimant) vs. Joseph Louis Jacoby, (Respondent) Case Number: 01-04245 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, HD Brous & Co., Inc., hereinafter referred to as "Claimant": John G. Moon, Esq., Morgan, Lewis & Bockius LLP, New York, NY. Respondent, Joseph Louis Jacoby, hereinafter referred to as "Respondent": Marc S. Gottlieb, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Stephen K. VanDerVliet 95-02555 Name of Respondent Investors Associates, Inc. ^M^^WmRY In a claim filed with the National Association of Securities Dealers, Inc. on May 26, 1995, Qaimant, St^hen K. VanberVliet, who appeared Pro Se, alleged that Michael McFarquhar, through his employer. Respondent, Investors Associates, Inc., pu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Nging_gf,£lainMiit Michael Tai 95-02542 Name of Respondent Shlomo S. Eplboim CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 26, 1995, Qaimant Michael Tai ("Qaimant"), who !q>peared Pro Se, alleged that Respondent Shlomo S. Eplboim ("Respondent"), contacted firom H.J. Meyers & Co., and successfully

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George R. & Leocadia Singleton 95-02500 NameofRest)ondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 23, 1995 Claimants George R. &, Lgpcadia Singleton ("Claimants"), who appeared Pro Se, alleged that Respondent Stratton Oakmont, Inc. ("SOI"), sold them

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keith Edward Acton 95-02498 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael Mattes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 23, 1995, Claimant, Keith Edward Acton, through his representative, Martyn S. Babitz, Esq., located in Cherry Hill, New Jer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration B^ween Name of Claimant Paragon Capital Corp. 95-02497 Name of Respondent Edward A. Delaney CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 23, 199S, Qaimant Paragon Capital Corp. ("Claimant"), through its representative and Compliance Director, Michde D. Wessel, alleged that Respondent Edward A. Delaney (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naine of Claimant Charles L. Bowe 95-02488 Name of Respondents Fidelity Brokerage Services, Inc. Dave Colbert Timothy E. Toscano Tom Samalis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 22, 1995, Claimant, Charles L. Bowe, who appeared Pro Se, alleged that Respondents, Fidelity Brokerage

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04244 Carmine lafelice and Betty lafelice, claimants vs. First Union Securities, Inc., respondent. ATTORNEYS: Claimants appeared pro se through Carmine lafelice, Palm Springs, FL. For Respondent appeared Brian Carlis of the firm Stark & Stark, P.C., Princeton, NJ. DATE FILED: August 9, 2001 CASE SUMMARY: Claimants alleged that respondent placed unwarranted margin calls. Claimants f