® 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

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01293 AWARD In the Matter of the Arbitration Between William C. Trainor Claimant vs. Legg Mason Wood Walker, Inc. Ruth Robinette Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 23, 1991, Claimant William C. Trainor who appeared Pro Se, alleged that on August 11, 1988 Respondent Ruth Robinette, Assistan

N.A.S.D. AWARD ASSOCIATION OP SECCRTTIES DEALERS In the Matter of the Arbitration Between Anthony & Kathryn Skaf f Manna of Global America Inc. Michael MarkowsfcL Carlo Ryprios John Steinmetz Joseph Biccio Patrick Riccio 91-01291 Claimants were represented by Patrick E. Meyers, Esq. of Moye, Giles, O'Keefe, Venneire & Gorrell, Denver, Colorado. BespcodeDta Global Anarica, Inc. and Michael Haztawsld. were represented by Leon B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thg Claimant Case Number: 01-01821 J.Allen Boyle Names of the Respondents Hearing Site: Pittsburgh, PA PNC Capital Markets, Inc. PN&f iriancial Services Group, Inc. Richard J. Tito RFPRF.SFNTATTON OF PARTIES Claimant, J. Allen Boyle, hereinafter referred to as "Claimant", was represented by Jeffrey L. I.iddle, Esq, Liddle & Robinson, L.L.P., New York, New York.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00767 Dean Witter Reynolds Inc., claimant vs. Egal Tsadyk, respondent. ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq. of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent appeared pro se, New York, NY. DATE FILED: February 22, 2000 CASE SUMMARY: Claimant alleged that the Respondent participated in a training program and subsequently terminated his employment, thereby

Arbitration --- tfA.S.D. AWARD National Association of Securities Dealers, Inc. NATICNAL ASSOdATICN OF SECURITIES DEMURS NASD Financial Center 33 Whitehall Street - - - — - : - -— - New York. N.Y. 10004 In the tfetter of the Arbitration Between FAX (2 1 2) 858-4389 Q£ Scnya Morris 91-01280 pf Berkowitz, Pierchalski Inc. Rick Piercfaalski For Claimant Sonya Harris ("daimant"): Harold L. Krainin, of Krainin & McKenzie.

PUBLIC Arbitration © National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Rnancial Center NATIONAL ASSOCIATION OF SECURITIES DEKLERS J3 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 la the Matter of the Arbitration Between Name of Robert S. Lewis Retirement Trust Robert S. Lewis 91-01276 Name of Respondents Bear Stearns & Company Elliot M. Hershberg REPRESB^IALl'ICK For Claimants Robert S. L