N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECORITTES DEALERS In the Matter of the Arbitration Between Of Steven Shapiro ) ) 91-03867 ) Of Paaprmrfottt (S) ) Investors Associates Inc. ) David Shapiro ) For Claimant, Steven Shapiro: Michael K. Wolersky of Kutak Rock & Campbell. For Respondent, Investors Associates Incorporated: pro se. For Respondent, David Matthew Shapiro: pro se. Statement of Claim filed: December 6, 1991. Claimant's Su

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Calvin & Dolores Mason 91-03860 Of F.N. Wolf & Co., Inc. Richard T. Sullivan Robert Clarfc Smith For Claiinants Calvin aTlH Dolores Mason (" Claimants ") : Daniel A. Ball, Attorney at For Respondents F.N. Wblf & Co., Inc. ("F. W. Wolf •) , Richard T. Sullivan ("Sullivan") a^ Robert dark Snith ( rt Staith°) : Jame

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth Hewyard Driggers Name of Respondents Luther C. Thompson Ralph Kelly 91-03858 REPRESENTATION For Claimant: Kenneth Heyward Driggers appeared pro se. For Respondents: Luther C. Thompson appeared pro se. Ralph Kelly appeared pro se. CASE INFORMATION Statement of Claim tiled: October 14, 1991. Claimant's Sub

PUBLIC N.A.S.D. AWARD ASSOCIATION OF SBCDRITIES DEALERS In the Matter of the Arbitration Between Name of Ralph P. & Mary Turchi Q£ PaineWefcber, Inc. Dcminick M* Schina 91-03857 Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimants: For Respondents: Leonard Spear,* Esq. Edward Werner, Esq. Statement o

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-03709 AWARD In the Matter of the Arbitration Between David L. Smith Claimant vs. USAA Brokerage Services Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 25, 1991, Claimant, David L. Smith", who appeared Pro Se, alleged that Respondent, USAA Brokerage Services misrepresented the risk regarding Long Island

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Ifetter of the Arbitration Between of Claimant 91-03704 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Dale D. Elrick, II Name of Respondents Richard Grieves Kenneth Sappington For Claimant; The Claimant was represented by R. Eugene Lovell, Esq. For Respondent

N.A.S.D. AWMED NftTICNMi ASSOOATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama Of NASD Arbitration Nb.91-03703 of Tony Wayne Culver daioant: Richard Sacks - Eavestars Recovery For Respondent: Ttany Crowther - Douglas B.' Martin, Jr. Esq. Vfetyne Culver - William J. Marinrty, Esq. Statement of Halm filed: Novenber 25, 1391 Claimant's Submission Agreemsit signed on: October 10 r 1991 Statement of An

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant First Union Securities, Inc. and 00-05282 Dallas, Texas Name of Respondents Robert M. Wheeler, Jr. REPRESENTATION OF PARTIES First Union Securities, Inc. ("Claimant") was represented by Diane C. Fisher, Esq., of Kane & Fischer, Ltd., Chicago, Illinois Robert M. Wheeler, Jr. ("Respondent") did not appear. CASE INFORMATION The Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS "In the Matter of the Arbitration Between ! ! Name of Claimant Karol Baron Case No. 91-03696 Name of Respondents Paragon Capital Corp. and Robert Jaffe REPRESENTATION For Claimant, Karol Baron ("Baron"): Howard J. Nussbaum, Esq. of Weinstein Zimmerman and Nussbaum, P. A. For Respondents, Paragon Capital Corporation ("Paragon"): Anthony A. Rolle. Esq. of Broad and Cassel. F

N.A.S.D. AWARD NATIONAL ASSOCIKTICK OF SECURITIES DEALERS In the tetter of the Arbitration. Between of Kenneth G. Davis vs. NASD #91-03689 Freeoan Welwood & Coopany Michael Freenan David Rockey Scott Key John Loewy For Claimant: (Davis) Kenneth 6. Davis For Respondents 1 : (Freeman Welwood & Company, Inc., Freeman, Rockey, Loewy) Carrie L. w»n«« of Fi i I'liiini Welwood & Company, Inc., Seattle, 'Washington. For Responden