PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE f92-01571 AHAKD In the Matter of the Arbitration Between Howard M. & Dianne A. Grant Claimants vs. Prudential Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1992, Claimants Howard M. & Dianne A. Grant, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. misled them into i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorothy Gay, (Claimant) vs. Morgan Stanley Dean Witter, PaineWebber, Inc., First Madison Securities, Inc., Frank R. Kelly, Stephen F. Peel, and Ray Vahab, (Respondents) vs. Arthur W. Wilsdorf, Jr. (Third-Party Respondent) Case Number: 99-03194 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dorothy Gay, hereinafter referred to as "Claimant": Lloyd D. Feld,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rabbi Shalom Gutnick Rabbi Meyer Gutnick Rabbi Chaim Farro Sorel Eizicovics Fredda Gordon Case# vs. 9%M5f*t* Consolidated with #92-01866 Name of Respondents Robyns Capital Corporation Eugene Dworkis Warren Schreiber REPRESENTATION For Claimants Rabbi Shalom Gutnick, Rabbi Chaim Farro, Rabbi Meyer Gu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John A. Bell 92-01568 Name of Respondents Stephen B. Phillips Robert A. Foster, Sr. •-•- •. REPRESENTATION For Claimant. John A. Bell ("Bell"): Jane A. Sirak, Esq. For Respondent, Stephen B. Phillips ("Phillips"): pro se. For Respondent, Robert A. Foster, Sr. ("Foster"): pro se. CASE INFORMATION Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lilv Gates vs. AWARD #92-01565 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Shearson Lehman Brothers. Inc. Astrid M. Berg REPRESENTAION For Claimant Edward T. Swanson, Esq., Santa Monica, CA For Respondents, Shearson Lehman Brothers, Inc., and Astrid Berg Samuel A. Turvey, Esq., of Shearson Lehman located in New York,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R. E. Lent he, Lent he IRA, Lenthe Investment, Inc. 92-01564 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. RBPRBSKHTATION For Claimant at the hearing: Bruce Pearson, Fargo, North Dakota. For Respondents at the hearing: Francis C. Musselman, Esq. of Merrill Lynch Pierce Fenner & Smith, Inc., New York, New Yor

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainiants Thomas C. & Jacqueline F. Walker 92-01562 Name of Respondents Dean Witter Reynolds Inc. Diane Barriga Peter Petrosky CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1992, Thomas C. & Jacqueline F. Walker, who appeared Pro Se, alleged that Respondent Dean Witter

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jon A. Geiss 92-01560 Name of Respondents Shearson Lehman Hutton. Inc. John Noonan REPRESENTATION For Claimant at the hearing: Terry J. Fleming, Esq. of Lindquist & Vennum. Minneapolis, Minnesota. For Respondent Shearson Lehman Hutton. Inc. at the hearing: Jeffrey L. Friedman. Esq. of Shearson Lehman Hutton. Inc.. New

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01559 AMA8D In the Matter of the Arbitration Between Carolynn A. Godwin Claimant vs. Invest Financial Corporation Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1992, Claimant Carolynn A. Godwin, who appeared Pro Se, alleged that Respondent Invest Financial Corporation misrepresented and recommended an investment in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack R. Stroot 92-01558 Name of Respondents Smith Barney, Harris Upham & Co.. Inc.: Warren W. Langford REPRESENTATION For Claimant: Jack R. Stroot was represented by Firmin C. Puricelli, Esq. and W Woody Schlosser. Esq. of Puricelli & Schlosser, located in St. Louis, Missouri. For Respondents: Smith Barney, Harris Upham and