Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William Glenn Long, III, Claimant Vs. Fifth Third Securities, Inc., and Charles Thomas Mercer, Respondents. Case Number: 00-05305 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant William Glenn Long, in ("Long"), was represented by James P. McCrocklin, Esquire, Louisville, Kentucky. Respondents Fifth Third Securities, Inc. ("Fifth Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant William R. Sharp vs. Case # 93-00061 Name of Respondents Shearson Lehman Brothers, Inc. John Mahonchak REPRESENTATION For Claimant, William R. Sharp ("Claimant"), Robert J. Donaghy, Esq. For Respondents, Shearson Lehman Brothers ("SLB") and John Mahonchak ("Mahonchak"), Casey Baum, Esq. CASE INFORMATION Statement of

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard L. and Sheni W. Saltz Name of Respondents Hibbard Brown & Co., Inc. Steven C. Sacco 93-00059 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1993, Claimants Richard L. and Sherri W. Saltz, who appeared Pro Se, alleged that in December, 1990 Steven C. Sacco, regi

JflN-03-1994 14=10 FROM NftSD-ftRBITRftTION-CNICnGD TO 12128S84141 P.E2 NATIONAL ASSOCIATION 0 In the Matter of the Arbitratib Name of Otaitnant Argent Petroleum Corporation and Name of Edward D. Jones & Co, REPRESENTATION OF PARTIES Argent Petroleum Corporation and Susan M. Hull, Esq. of Ji Edward D. Jones & Co. Dallas, Texas. ^Claimant 0 } was represented by Rodney Acker, Esq. & Gflchrist, Dallas, Texas. ("Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stan T. Alwani Name of Respondents J.W. Gant and Associates, Inc. Donald Seung Han 93-00048 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Stan T. Alwani, who appeared Pro Se, alleged that Respondent Donald Seung Han, while employed by the Respondent firm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Michael Dina No. 93-00045 Name of Respondent Hamilton Investments, Incorporated REPRESENTATION OF PARTIES For Claimant: Steven A. Greenberg, Esq., Chicago, Illinois. For Respondent: Rosemarie J. Guadnolo, Esq. of Horvath & Lieber, P.C., Chicago, Illinois. CASE INFORMATION Statement of Claim filed on or about: January 4, 1993. Claimant's Submission Agreement si

JUL-27-1994 16:29 FROM NflSD-fiRBlTRfiTlON-CNICAGD TO M-H-M 09: IBM JfkOH Him LEGAL TO 92363239 12123583974 P.02 PCQ2/OG9 TOIS SETTLEMENT , jyy and between Ranger and Howard I. Waineto corporation organised afiU AGIO 5EMERTC i£ made this day of Nbvenfoer, Securities, inc. (aereitflHft I igr' 4 ^KSI'') ;iiereiaa£ter "Weinateia H ). KSI is a existing imder the laws of t'ao State of A. KSI asa«rt:Qd cl^iroe asiai

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Byron T. Hill Name yf Respondents Prudential Securities, Inc. Ronald J. Riley 93-00042 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Byron T. Hill, who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. and Ronald J. Riley re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James W. and Joan T. Ashton Name of Respondents Allied Capital Group, Inc. Bruce H. Chandler 93-00041 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1993, Claimants James W. Ashton and Joan T. Ashton, who appeared Pro Se, alleged that Respondents Bruce H. Chandler and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Pamela Hanson 93-00037 Name of Respondents A.S. Goldman & Co. and Gene Phillips REPRESENTATION OF PARTIES For Claimants at the hearing: Pro Se. For Respondent, A.S. Goldmen & Co. at the hearing: Lena Liberatore, Esq. of Bachner, Tally, Polevoy & Misher, New York, New York. For Respondent, Gene Phillips at the hearin