NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02540 AWARD In the Matter of the Arbitration Between William Terry Carter Claimant vs. Dean Witter Reynolds, Inc. John Tekeser Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1991, Claimant, William Terry Carter, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and John Tekeser overch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard & Kate Schaps No. 91-02539 Name of Respondents _•.. qp». Paragon Capital Corporation Douglas Telepman REPRESENTATION OF PARTIES For Claimants: Ronald Lev, Esq. of Ron Lev Ltd. For Respondent Paragon Capital Corporation: Clifford B. Yuknis, Esq., and Dennis 0. Boyle r Esq, of Shefsky & Froelich Ltd.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCTATICN OF SRAIklTIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant James R. Leonard 91-02536 Michael J. Wbalen For Claimant: David A. Webster, Esq. of the law firm of Sumner & Hewes. For Respondent; Michael J. Wbalen appeared pro se. Statement of Claim filed on: August 14, Claimant's Submission Agreement signed on: July 30, 1591. Statement of Answer of filed by Respondent on

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between T h «, • i n ,1 - INDUSTRY Joseph & Shirley Berkley Claimant vs. Shearson Lehman Brothers, Inc. Philip Engelson Respondents CASE #91-02535 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1991, Claimants Joseph & Shirley Berkley, who appeared Pro Se, alleged that Respondents Shea

N.A.S.D. AWARD ASSOCIATION OF SECDRIT2ES DEALERS In the Matter of the Arbitration Between Of Early H. Whitater 91-02533 Mame Of RfMymnrfgnt (3) A.G. Edwards & Sons, lac. KtSHUSatarJLKJL'JJLfli For Claimant: Kenneth M. Hppson, Jr., Esq. of Colunbus, Georgia. For Respondent: William S. Port, Esq., on-house counsel from A.G. Edwards and Sons, Inc. in St* Louis, Missouri. cass Statement of n*i-m filed: August 15, 1991. Claimant's Sub

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Maurice F. and Barbara J. Moriarty and 00-04927 Minneapolis, Minnesota Name of Respondents John G. Kinnard and Company, Inc. James A. Crenna REPRESENTATION OF PARTIES Maurice F. and Barbara J. Moriarty ("Claimants") were represented by Michael Huberman, Michael Huberman and Associates, La Quinta, California. John G. Kinnard and Company, Inc

N.A.S.D. AWAED Assocxanoi OP SSCCRITS t^ae Matter or tie ArEicraticn Be ttame of daisants 91-02530 Anfhnny Ferruzzi •TotaP T. MQE3CL Albert 7.1arti» TbdiE. Nadail Aurnrny Stc j.3i r^. For daiaants: David G. Hirscbberg, Sag. of Waxier & Burfctoart. ?.C. Par Respaadeat Ttodd H. Nadell (-BespaGdait Nadell'): Jaaas O. Druter. Esq. of Kase & Druicer, Zsqs. Ptar Respondeat Albert ZlarlP ("Respcndait Zlade-) : Altoert For Seapcndait Jot

N.A.S.D. AWARD NATICNAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Bruce T. Blythe 91-02524 Name of Respondent (s) Jfarc Stuart Rogovin PUBLIC For Claimant: Richard L. Heffner, Jr., Esq. of Page & Bacek in Atlanta, Georgia. Respondent Marc Stuart Rogcrvin did not appear in the proceeding. case mptSMKncK Statement of Claim filed: August 16, 1991. Claimant's Submission Agreement s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony Hardy Claimant vs. Wellshire Securities, Inc. - Lawrence J. Carsi - Thomas A. Butterfield - Joseph Jenkins, Jr. - Sdward D. Braverman Robert Cohen Carol Martino , Respondents CASK #91-02522 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1991, Claimant, Anthony H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Linda M. Martin 91-02521 Name of Respondent Schneider Securities -\ ar-- REPRESENTATION OP PARTIES For Claimant Linda M. Martin: pro se. For Respondent Schneider Securities: Barry D. Tull of Schneider Securities, Denver, Colorado. CASK INFORMATION Statement of Claim filed by Claimant Linda Martin: August 14,