PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sue E. Biggs 92-03986 Name of Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 25, 1992, Claimant Sue E. Biggs, through her husband, Ed Biggs, alleged that Respondent A.G. Edwards & Sons, Inc. has withheld her last payment regardi

PU3LIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maxine M. Marcus 92-03978 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 24, 1992, Claimant Maxine Marcus, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. through it

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential-Bache Securities Inc. 92-03976 Name of Respondent Geri Kubiesa REPRESENTATION Claimant, Prudential-Bache Securities, Inc. was represented by Jill Byrne, Esq. of Kutak Rock, Washington, D.C. Respondent, Geri Kubiesa was represented by Gregory A. Friedman, Esq. of Friedman & Holtz, P.C., Chicago, Illinois. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Donald Johnson for the Estate of Clarence A. Johnson vs. Case # 92-03974 Name of Respondents Shearson Lehman Brothers, Inc. David Hornburg John P. Bevilaqua REPRESENTATION For Claimant, David Johnson, Bruce Garfield from Investors Arbitration Services, Inc. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson") and Dav

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter "of the Arbitration Between Name of Claimants Josef Blatstein and Helen Blatstein 92-03973 Name of Respondents Kirlin Securities, Inc. Claudia R. Roberts CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 24, 1992, Claimants Josef and Helen Blatstein, who appeared Pro Se, alleged that on July 2, 1991 they pu

N.A.S.D. AWARD NATTONAT ASSOCIATION OF SF.CURTTTT^ PF V ™*- TNG - - In the matter of the Arbitration Between Name of Claimants) Donnee Casper, individually; Donnee Casper, Ph.D., P.S.; Donnee Casper, PhD., P.S. Defined Benefit Pension Plan; and Donnee Casper, Trustee NASD Arbitration No.92-Q3971 Name of Respondent^) Prudential Securities, Inc., RFPRRSFNTATTON For Claimant: Jack G. Orr, Esq., Harris, Orr & Wakayama, Seattl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AT.KRS Neurosurgical Associates of Indiana, P.C., et al., Claimants, v. No. 92-03965 Rhoda Israelov, and Shearson Lehman Brothers, Inc., Respondents. REPRESENTATION OF PARTIES Claimants, Neurosurgical Associates of Indiana, P.C.; Neurosurgical Associates of Indiana Employee's Money Purchase Plan; and Neurosurgical Associates of Indiana, P.C., Employes' Profit Sharing Plan ("Claimants")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant G. Patrick Stillman 92-03956 Name of Respondents Shearson Lehman Brothers, Inc. (n/k/a Smith Barney Shearson) Robert Grapin REPRESENTATION For Claimant G. Patrick Stillman ("Claimant"): David A. Flores, Esq. of the law firm of Hartman Underbill & Brubaker For Respondents Shearson Lehman Brothers, Inc ("Shearson") and Robert

Awaru NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between Nape of Claimant Joseph F. Sullivan Case No. 00-05015 Names of Respondents Silver Capital Group LCP Capital Corp. Hearing site: Boca Raton, Florida REPRESENTATION OF PARTIES Joseph F. Sullivan ("Sullivan"), hereinafter referred to as "Claimant" appeared gm It- Respondents Silver Capital Group ("Silver Capital") and LCP Capital Corp. ("LCP") did not appear (s

j o? in the matter of the Arbitration Between. Howard Fudenbezg NASD Arbitration »Q* 92-03995 Glenfed Brokerage S«rvic«a Claimant: H Thom»« Pehn, B»q., fields^ ?*hn & aherwin, Loc , California For Rftflpcaodmt : Jo*l Oworkr fieq., itoward , California \ j Statftmant of Claim filed s Hbvambar 20, 1992 Claimant's Submieaion Agxraoant signed t October 9, 1992 statement of Anawer and Counterclaim filed by Ravpondenti February 12