N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel J. Lehman 93-04484 Name of Respondent Thomas Lonergan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1993, Claimant Daniel J. Lehman, who appeared Pro Se, alleged that Respondent Thomas Lonergan advised him to invest his savings in Sheffied Industries, which was not

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Name of Claimant VIRGINIA K. SIMPSON CASE No. 93-04472 v. Name of Respondents IDEAL SECURITIES, INC., HI-TECH RESOURCES, INC., DONALD RAY TYNER, JR., & GREGORY ALAN REED REPRESENTATION For Claimant, Virginia K. Simpson ("Mrs. Simpson"): Allan J. Fedor, Esq. of Fedor & Fedor, of Largo, Florida. Respondents, Ideal Securi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03736 Charles Schwab & Company, Inc. t Claimant vs. Mario Santangelo, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Richard A. Karoly, Esq., San Francisco, CA. Respondent did not respond to the Statement of Claim DATE FILED: August 28, 2000 CASE SUMMARY: Claimant inadvertently transferred 1000 shares of Oracle Corp. stock, which was sold one week prior caus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Stoyka & Connie Stoyka, JTWROS 93-04450 Name of Respondents Paragon Capital Corporation Richard McGuire CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1993, Claimants John and Connie Stoyka, who appeared Pro Se, alleged that Respondents Paragon Capital Corporatio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leon A. Martin 93-04432 Name of Respondent Franklin-Lord Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1993, Claimant Leon A. Martin, who appeared Pro Se, alleged that Respondent firm, Franklin-Lord, Inc. placed an order for 1,000 shares of Wholesome and Hearty Foods

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eliezer Burko and L'Tanya M. Ross 93-04407 Name of Respondents Chatfield Dean & Co., Inc. Sidney William Lasley David Robert Guilford CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1993, Claimants Eliezer Burko and L'Tanya M. Ross, who appeared Pro Se, alleged that Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kira Greene 93-04397 Name of Respondents Alex Brown & Sons Steve Gritzan REPRESENTATION For Claimant Kira Greene ("Claimant"): appeared pro se For Respondent Alex Brown & Sons ("Alex Brown"): Robert E. Patterson, Esq., of Alex Brown & Sons, Baltimore, Maryland. For Respondent, Steve Gritzan ("Gritzan"): pro se, did not

In the N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAUSRS r of the Arbitration Between Name of Claimant V; Greed 93^4353 1 tame, of A.G. wards &| Sons, Inc. O\SE SUMMARY claim oa Ina Claimao & SODS, shares o broker further there edstetf would Q ily contended St. Loui i also should fifed wjtth the National Association of Securities Dealers, Inc. on Octbber 21, 1993,

N.A.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. In the Matter of the Arbitration Between RICHARD JOHNSON NASD Arbitration Claimant No. 93-04347 a,;:.'< . .;: • .,.,.- V. ' . ; . . . . .. -- - • - • • ' .^...;V •.- • .V* Respondent Representation For Claimant: Richard Johnson of Manzanita, Oregon For Respondent: Amr I. Elgindy of Colleyville, Texas onioc Case Information :ue;v-.:-

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ;: j . : * . ' ' ' . • -I Name of Claimant Jonathan Maclain Scott Order vs. #93-04331 Name of Respondents National Financial Services Corp. Chicago Board of Options Exchange , . ,. : L , REPRESENTATIQ1V Claimant, Jonathan Maclain Scott ("Claimant"), represented himself at the hearing. For Respondent