PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant C. E. Coffey vs. 92-02281 Name of Respondents Hibbard Brown & Co., Inc. Doug Andrews CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1992, Claimant C.E. Coffey, who appeared Pro Se, alleged that Respondents Hibbard Brown & Co., Inc. and Doug Andrews finally effec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas S. Anderson 92-02277 Name of Respondents Wheat First Securities, Inc. Lee Kelly REPRESENTATION Claimant Douglas S. Anderson ("Claimant") represented himself. Respondents Wheat First Securities, Inc. ("Wheat") and Lee Kelly ("Kelly") .were represented by Jonathan M. Harris, General Counsel of Wheat First Securities,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) John and Santa Natoli 92-02273 Name of Respondent(s) Princeton Securities Corp. Leonard Neuhaus REPRESENTATION For Claimants: Kathrine Nathan, Esq., of Brandeis, Bernstein & Wasserman. For Respondent. Princeton Securities Corp: Kenneth A. Kamen of Princeton Securities Corp. CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger C. Kleis Case* vs. 92-02268 Guardian International Securities Louis Shaias Jaime Gomez Claimant Roger C. Kleis appeared pro se. Respondents, Guardian International Securities, Louis Sitaras and Jaime Gomez, did not respond. Respondent Innovative Tech Systems is not affiliated with the NASD and declined to submit voluntarily to arbitra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between .Name of Claimants Norman R. Waldherr Mona Jean Waldherr No. 92-02266 Name of Respondent Olde Discount, Corp. REPRESENTATION OF PARTIES Claimant Norman R. Waldherr appeared pro a&. Claimant Mona Jean Waldherr was not present at the hearing. For Respondent: Mark Kendall, Registered Representative, Olde Discount, Corp., Lombard, Illinois.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 92-02260 Name of Respondent Gabriel Solorzano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 8,1992, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., through it's counsel, Bradford D. Kaufman, Esq., of Steel Hector & Davis,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley W. Balzejewski. as SEP Custodian 92-02257 Name of Resoondent(s) Shearson Lehman Brothers, Inc. David Heiser For Claimant. Stanley W. Blazejewski as SEP Custodian, Michael F. Bachner, Esq. For Respondents, Shearson Lehman Brothers, Inc. ("Shearson") and David Heiser ("Heiser"), Paul Williams, Esq., from the law firm o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant B. Lydia Samaniego NASD Arbitration No.92-2256 Name of Respondents Prudential Bache Securities. Inc. Carl Gottuso REPRESENTATION For Claimant: Dan Zaharoni, Esq. - Waier and Urtnowski - Santa Ana, California For Respondent, Prudential-Bache Securities, Inc.: Janet M. Simmons, Esq. - Keesal, Young & Logan, Long Bea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Rose M. Palano Case* vs. 92-02254 Name of RespondentCs) Bailey, Martin & Appel Inc REPRESENTATION For Claimant: E. Earle Rugg, Jr., Esq. of the law firm of Rugg & Tallman Associates. For Respondent Ernst & Company: Michael H.' DuBoff of the law firm of Salon, Marrow & Dyckman. For Respondents, Bailey, Martin & Appel/Fi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-02253 AHARD In the Matter of the Arbitration Between F. Gordon Boyle Claimant vg. Paragon Capital Corporation Anthony Pata Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 8, 1992, .Claimant F. Gordon Boyle, who appeared Pro Se, alleged that on August 21, 1991 Respondent Anthony Pata of Respondent Paragon Capital C