NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stanley Grant Hughes, Jr. Claimant vs. Prudential-Bache Securities, Inc. n/k/a Prudential Securities, Inc. and Sigrid Pate Respondents Case #91-01341 AWARD CASE SUMMARY Pro Se Claimant, Stanley Grant Hughes, Jr. in a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1991, alleged that Respondent Sigrid Pate, a re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of James D. Tufts, II 91-01340 Name of Respondent (3) Shearson Tirtrrm Button, Inc., now~ '**" known as Shearson Lebnan Brothers, Hoc* Jack Roy Walter Durchbalter For Claimant: James D. Tufts, II was represented by Charles A. Snyder, Esq. and Mark P. Dauer, Esq. of Milling, Benson, Woodward, Hillyer, Pierson located in New Orleans

Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF In the Matter of the Arbitration Between. of Claimants David J. anij Lynn A. Schaefer Name of Respondents Shearson Lehman Brothers, Inc. Mark D. Cook 91-01335 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimants David J. and Lynn A. Schaefer ("Claimants 11 ) : Walter V. Hia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Name of Claimants Thomas and Patricia Shoop and 91-01334 Name of Respondents Prudential Securities, Inc. f/k/a Prudential-Bache Securities, Inc., John Buda, William Lasko, and David Gorobetz REPRESENTATION OF PARTIES Claimants were represented by Patric J. LeHouillier, Esq. of LeHouillier & Associates, Colorado Springs, Colorado.

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