N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Manor of the Arbitration Between Harry A. Koppei Case No. 92-00340 J.W. Charles Security Inc. Daniel DaUey For Claimant, Harry A, Koppel ("Koppel"): Robert Wayne Pearoe, Esq. of Lerner and Poarce, P.A. For Respondent, J. W. Charles Securities, Inc. ("JWC*): Howard A. Teacher, Esq. of Teacher Valinsky ft Kain. Respondent, Daniel Dafley ("Da-Boy"): Em S&. CASE AaMdded Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimants Roger and Doris Haas 92-00339 Name of Respondents ManEquity, Inc., International Capital Formation Corp., VSR Financial Services, Inc., Donna Carlton, Mark Carlton, and Carlton & Associates REPRESENTATION For Claimants: Samuel L. Hanson, Esq. of Briggs and Morgan, Minneapolis, Minnesota. For Respondent ManEquity, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George M. Loy, Jr. 92-00337 Name of Respondents Smith Barney, Harris Upham & Co., Inc.; Warren W, Langford For Claimant: George M. Loy, Jr. was represented by Harry O. Moline, Esq. and Sherri C. Strand, Esq. of Moline, Onsen, Mauze'. Leggat & Shostak, located in St. Louis, Missouri, and Edward Lander, Esq. of Lander & Berkowitz

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Cnterresoondent Albeit J. Van Maren No. 92-00336 Shearson Lehman Brothers, Inc. David Asplund REPRESENTATION OF PARTIES For Claimant: Richard J. Nogai, Esq. of Lillig & Thorsness, Ltd., Oak Brook, Illinois For Respondents: Bradley C. Twedt, Esq. of Neal Gerber & Eisenberg, Chicago, Illinois CASE INFORMATION Statement of Claim filed: Janua

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Malcolm Pain Claimant vs. Paragon Capital Corp. John Kenny CASE #92-00335 JWABD Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1992, Claimant, Malcolm Fein, Bsq., who appeared Pro Se, alleged that in 1991, through Respondent, John Kenny, an Account Executive with Respondent,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Frank P. DiLollo, III, (Claimant) vs. Prudential Securities Inc., Arthur Snyder, and Andrew Compton, (Respondents) Case Number: 99-03059 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Frank P. DiLollo, III ("DiLollo"), hereinafter referred to as "Claimant": Lawrence T. Neher, Esq., Berkowitz, Lichtstein, Kuritsky, Giasullo & Gross, LLC, West Orange, NJ. Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wanda G. Cutlip Thomas L. Cutlip vs. 92-00333 Name of Respondent Shelter Rock Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1992, Claimants Thomas L. & Wanda G. Cutlip, who appeared Pro Se, alleged that Respondent Shelter Rock Securities sold their IRA accounts witho

Arbitration N.A.S.D. AWARD JJATICNAL ASSOCIATION OF SiJLUkiTIKi? DEALERS In the Matter of the Arbitration Between of naiiTB»n< - 92-00332 Legg Mason Wood Walker, Inc. Ntoe_of_Resjyindent Jack C. Pappas National AMocation 01 Securities Oeiltf*, Inc NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX 1212) 858-4389 For Claimant Legg Mason Wood Walter, lac. ("Claimant"): Dana Pescosolido, of Fairbanks, Gault et

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David S. Foster and Fa ye V. Foster 92-00331 Name of Respondents Prudential Securities Inc John Vandenburg For Claimant: James A. lafrate, Esq. of Logeman & Associates. P.C. For Respondents: Peter Byer. Esq. of Prudential Securities Inc. CASE INFORMATION Statement of Claim filed: January 17, 1992. Claimant's Submission

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Melvin Williams Claimant CASE #92-00330 AWARD vg. Waddell & Reed Financial Services Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1992, Claimant, Melvin Williams who appeared Pro Se, alleged that in September 1989 when he received a lump sum annuity payment from his r