NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Francis McLain Claimant(s) vs. Paragon Capital Corp. f/k/a Huberman Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00838 CASE SUMMARY Claimant(s) Francis McLain alleged that Respondent(s) Paragon Capital Corp. f/k/a Huberman Securities Corp. executed an unauthorized transaction in Claimant's account in April 1989. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Syed A. Barkatullah 90-00780 Naneof_pegtipndents J,F. Lowe & Conpany, Inc. Jim Lowe Kasi Hassan Hank Fichter Rich Greenstein John Nitkowski OF PARTIES All parties appeared pro se. In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 13, 1990, Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barbara Baker, Claimant and 89-02508 The Chicago Corporation and Ladd Duda, Respondents In a claim filed with the NASD on or about September 8, 1989 Barbara Baker ("Claimant") alleged that Trrtl Duda ("Duda") a broker at The Chicago Corporation ("Chicago Corp.") (collectively as "Respondents") mad* unauthorized sales of 5 covered calls of R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Joanne IfcGee-Hall 89-02995 Name of ftesnondent/s) Trace Paradise Jinny Carter Texas Independent Securities In a claim filed with the NASD on or about October 22, 1989, Joanne McGee-Hall ("Claimant") alleged that Texas Independent Securities, Trace Paradise and Jinny Carter (collectively "Respondents"): 1) misrepresented materia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth L. Colquitt 89-02987 Shearson Lehman Hutton, Inc. Drexel Burnham Lambert, Inc. Leigh Burch, III Claimant Kenneth Colquitt was represented by Fredrick H. Thcraforde, Jr., Esq. of Morton, Thonforde and Marten, Knoxville, Tennessee. Respondent Shearson Lehman Hutton, Inc. was represented by Therese Cbringer, Esq. of Neal Gerber & Elsenberg

NATIONAL ASSOCIATION OP SECURITIES DEALERS T S ^^™^""™ 1 ™™"™"^™ 1 "^"" In the Matter of the Arbitration Between Clara Mateo Claimant(s) vs. 89-02984 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Clara Mateo alleged that Respondent(s) Wall Street Clearing Co. committed unauthorized trading Claimant's account held with Respondent. Respondent denies Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph and Ethel Rubulotta Claimants vs. #89-02982 PaineWebber, Inc. Timothy M. Pastorino Respondents CASE SUMMARY Claimants alleged that Respondents misrepresented the suitability of a common stock called Shayna International Industries which Claimants bought that later created losses in their accounts. Claimants further alleged that the broker

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Rick E. DeGeorge vs. Case No. 99-02862 Name of Respondents Janney Montgomery Scott, Inc. Eugene E. Peroni, Jr. Michael R. Richardson REPRESENTATION OF PARTIES Claimant, Rick E. DeGeorge, hereinafter referred to as "Claimant": Steven R. Blair, Esq., Lancaster, Pennsylvania Respondents, Janney Montgomery Scott, Inc. ("IMS"), Eugene E. Peroni,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Panagiotis Petrochilos Claimant vs. AWARD #89-02979 Paul Pantazakos Respondent Case Summary Claimant Panagiotis Petrochilos sued the Respondent Paul Pantazakos for damages sustained as a result of his alleged misrepresentations. The Respondent denied the allegations and counterclaimed for personal out-of- pocket loss that he attributed to the Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vincent D. Lastella Claimant(s) vs. Monmouth Investments, Inc. and Richard DeRose Respondent(s) NOTICE OF ARBITRATION AWARD 89-02978 CASE SUMMARY Claimant(s) Vincent D. Lastella alleged that Respondent(s) Monmouth Investments, Inc. and Richard DeRose misrepresented material facts as to Claimant's investment with Respondent. Respondent Richard