N.A.S.D. AWARD NAIICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Items & Barbara Maran ) ) ) Case No. 91-01327 ) Name of Rftflpmdmt (s) ) ) Prudential -Bache Securities Inc. ) Robert F. Sterling, III ) For Claimant, HUBS & Bazbara Mozan ("the Marans") : Brie Hewfco, Esq. of Hall Hewko & Leibovit, P. A. For Respondents, Prudential Securities, Inc. ("Prudential") and Robert Ster

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael M. Marks, Custodian for Miranda Marks Claimants vs. Global America, Inc. Steven E. Levine Respondents CASE #91-01324 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1991, Claimant Michael M. Marks, who appeared Pro Se, alleged that Respondents, Global America, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ruth Ann Hoppes, Daniel Wampler James C. Jackson, Phyllis Jackson, and Patricia Mulvaney and 91-01318 -•- *»- Name of Respondentfs1 Waddell & Reed, Inc. REPRESENTATION OF PARTIES Claimants were represented by Diane A. Nygaard, Esq., Overland Park, KS. Respondent was represented by W. Perry Brandt, Esq. of Stinson,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward S. Gray Claimant vs. Daniel A. Petit Respondent AWARD Case #91-01316 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1991, Claimant Edward S. Gray who appeared pro se, alleged that Respondent Daniel A. Petit made misrepresentations concerning an investment the Claimant made in Colon

N.A.S.D. AMRRD NKCTCNAL ASSOdATICN OP SECURITIES In the Matter of the Arbitration Between Rabin E. Masl 91-01314 Brothers, XDC« Joseph Perrante Bar daiaanti R. J. Btosiello appeared for Rcbln S. Masiello. Tar ReepGodeotsi Mbext D. w< T»™»i r Esq. of ^**j*«m f Dona & Gould In Boston, Itossachusetts. Statement of daim filed: April 25, 1991. Claimant's Subodssicn Agreement signed ens April 22,1591* Joint Statanent of AuMer fi

^ Arbitration ® National Association of Securities DMtors, Inc. One East Broward Boulevard Suite 1000 N.A S.D. AWARD p t- Lauderdale. Florida 33301 (305) 522-7391 NATIONAL ASSOCIATION OF SECURITIES DEALERS In tbe Matter of the Arbitration Between of Lucille Thomas 91-01313 Name of Respondent (s) Michael. Nova* For Claimant, Lucille Tbonas ("Ihonas") : Theodore F. Brill, Esq. of the Law Offices of Theodore F. Brill, Es

® N.A.S.D. AWARD ASSOCIATION OF SBCORITIES DEAI£RS In tbe Matter of the Axbitraticn Between ) Name of Guardian International Securities Corp. ) Mite Kelly ) Jaime S. Gcnez ) Lou Sitaras ) Kenneth. Cutler ) Arbitration National AaaocJatJon of Securities Dealer*, Inc. One East Sroward Boulevard Suite 1000 Ft. Lauderdaie. Florida 33301 (305) 522-7391 Case No. 91-01310 rBrur.uji For Claimants, Ralph »*y* Jean lapichin

N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan C'Shea 91-01304 Name of Respondents Shearson Lehman Brothers, Inc. Equitable Securities of New York, Inc. Peter Tosto REPRESENTATION 7or Claimant Susan :' Shea "Claimant" v : Milan X. C-regory, a sale practitioner. For Respondent Shearson Lehman Brothers, Inc. '"Shearson"): Thomas Roberts, of Shanley &

XT g . TV &M&PH NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Name of Claimant Minnie S. Sutfcer Name of Respondent John B. Davidson Arbitration National Association of Securities Dealers. Inc. One East Broward 3oLiev?. r Suite 1000 Ft Lauderdale. Ficnca 3JoC (305) 522-7391 Case No. 91-01298 For Claiuant, Minnie S. Sutter, {"Sutter") : Martha A. Geer, Esq. of Patterson Harkavy, Lawren

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julienne Wells and Bette Lou Otto-Bliesner, Trustees Claimants vs. CASE #91-01295 AWARD Shearson Lehman Brothers, Inc. Kris Stelzner Respondents CASE SUMMARY Pro Se Claimants, Julienne Wells and Bette Lou Otto-Bliesner, TTEES, in a claim filed with the National Association of Securities Dealers, Inc. on April 23, 1991, alleged that Responden