N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ PUBLIC Jack Heilweil 92-02020 Name of Respondent s) Paul Eisenberg REPRESENTATION The Claimant appeared Pro Se. The Respondent appeared Pro Se. CASE INFORMATION Statement of Claim filed: June 16, 1992. Claimant's Submission Agreement signed on: June IS, 1992. Statement of Answer filed by Respondent Paul Eisenberg o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra L. Schiermeier 92-02019 Name of Respondents R.G. Dickinson & Co.; W. Kirk Smith REPRESENTATION For Claimant: Sandra L. Schiermeier was represented by Don K. Leufven, Esq. of Houston, Texas. For Respondents: R. G. Dickinson & Co. was represented by Joseph L. Hood, Jr., Esq. of Scott, Hulse, Marshall, Feuille, Fing

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry Cannon Claimant CASE #92-02015 vs. Waterhouse Securities, Inc. Pamela Elliott Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1992. Claimant Jerry Cannon who appeared Pro Se, alleged that he had an account with Respondent Waterhouse Securities, Inc. which was r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant Leonard F. Wheat vs. 92-02014 Name of Respondent Charles Schwab & Company. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1992, Claimant Leonard F. Wheat, who appeared Pro Se, alleged that Respondent Charles Schwab & Company, Inc. was negligent in effecting a sale

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Emil R. Proska, III and 92-02008 Name of Respondent Brownstone Smith Securities Corp. REPRESENTATION OF PARTIES Emil R. Proska, HI ('Claimant') appeared pro se. Brownstone Smith Securities Corp. ("Respondent*) did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or about June 16,1992. Su

N.A.S.D. AWARD NATIONAL ASSOOATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Hedrick and 92-02004 f Resondent Texakoma Financial, Inc. Texakoma Oil & Gas Corporation DeanR. Kennedy Scott Kennedy Richard I. Kennedy OF Claimant was represented by David Westfali, Esq., Dallas, Texas. Respondents Texakoma Financial, Inc., Texakoma Oil & Gas Corporation, Dean R. Kennedy, Scott Kennedy, and Richard Ken

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mingtar Tsai Claimant CASE #92-02003 AWARD vs. Alexander Gabor & Company, Inc. Alexander Gabor Respondents CASE SUMMARY In a claim filed with the national Association of Securities Dealers, Inc. on June 16, 1992, Claimant Mingtar Tsai who appeared pro se, alleged that Respondents Alexander Gabor & Company and Alexander

V.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Doris Lorraine Feldman NASD Arbitration No. 92-02000 Na.me of Respondent Lloyd Lokka REPRESENTATION For Claimant: C. R. Melton, Arbitration Consultants, Woodland Hills, Ca. For Respondent: Diane A. Irvin, Esq. - Jones, Bell, Simpson & Abbott - Los Angeles, Ca. CASE INFORMATION Statement of Claim filed: June 16, 1992

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leonard Becker and Nancy Becker, Claimants v. Global Crown Capital, LLC and Rani T. Jarkas, Respondents Case Number: 05-04722 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Edward M. Keech, Esq. Fitzgerald Abbott & Beardsley LLP Oakland, California For Respondents: Henry W.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Cruz, Claimant v. A.G. Edwards & Sons, Inc., Tiffany A. DeRuosi, and Rahamin Suares, Respondents Case Number: 03-06308 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William B. Young, Esq. Colling, Gilbert, Wright & Carter Maitland, Florida For Respondents A.G