NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Morgan Gladstone & Co., Inc. Claimant vs. Southport Capital and Curtis Ivey Respondents CASE #91-02261 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 24, 1991, Claimant, Morgan Gladstone fit Co., Inc. by and through its outside counsel, Charles H. Brodzi, Esq., Sole Practitioner, Fort Lauderdale

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Albert de Atienza and Angeles de Atienza and 91-02256 Name of Respondent INVEST Financial Corporation REPRESENTATION OF PARTIES Claimant Albert de Atienza appeared pro ae. Respondent was represented by Eugene B. Harper, Esq. of INVEST Financial Corporation, Tampa, Florida. CASE INFORMATION The Statement of Claim wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #9X--02255 AKBBH In the Matter of the Arbitration Between Linda D. & John E. Ross Claimants vs. Southeast Bank Brokerage Service, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities- Dealers, Inc. on July 24, 1991, Claimants Linda D. & John E. Ross who appeared Pro Se, alleged that Respondent Southeast Bank Brokerage Service, Inc. through thei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Suiter Claimant vs. Daniel C. Stybr Respondent CASE #91-02251: ANBRD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 23, 1991, Claimant David Suiter who appeared' Pro Se, alleges that Respondent Daniel C. Stybr misrepresented: the high risk of VMS Strategic Land Fund II when he told the Claim

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Marc Loveman, IRA 00-04960 Names of the Respondents Hearing Site: Fahnestock & Co., Inc. and Lee Hartzmark Boca Raton, FL REPRESENTATION OF PARTIES For Marc Loveman, IRA, hereinafter referred to as "Claimant": Jeffrey M. Herman, Esq., Herman & Mermelstein, P.A., Miami, FL. For Respondent Fahnestock & Co., Inc. ("Fahnestock"): Eric J. Shames, Esq., C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between B.C. Christopher Division of Fahnestock & Co., Inc. INDUSTRY Claimant CASE #91-02250 vs. AWARD Jeffrey Harkness Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1991, Claimant B.C. Christopher, Division of Fahnestock & Co., Inc. through its outside counsel, James A. Stanziola, Esq

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02245 AWARD In the Matter of Arbitration Between John C. Bellio Claimant vs. Prudential Securities, Inc. and Melvin Harris Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 23, 1991, Claimant, John C. Bellio, who appeared Pro Se, maintained that he transferred his IRA account to Respondents Prudential Securities, In

PUBLIC N.A.S.D. AWARD NftTICNAL ASSOCIATION OF SECURITIES DEALERS In the ^fetter of the Arbitration Name of CtaiTnantts) C-Nahcioli Investment Club George R. Nabmi Name of Respondent (s) Prudential Securities Inc Paul A. Bertsch Arbitration National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 91-02237 For Claimant; Janes R- Jtellvaine, E

N.A.S.D. NATIONAL ASSOCIATION OF SHUki'i'lES DEALERS In the Matter of the Arbitration Between Name of Merrill Lyncn, pierce Fenner & anith. 91-01811 Name of Joel D. Nelson For Claimant: John Kanberg, Esq. of Orrick Herrington and Sutcliffe For Respondent: Joel Nelson Statanent of fTlaim filed: June 11, 1391 Claimant's Submission Agreement signed on: August 6, 1591 Statement of Answer filed by Respondent Joel Nelson on: August 2, 1991

_ _ Arbitration €> «.-*.—. «~«^ NATICNAL ASSOCIATION OP aMOikiTUB DEMURS Suite 1000 _ Ft. Lauderdale, Florida 33301 In the Matter of the Arbitration Between t 305 * Name of Claimant (a) Virgin -I a R. Livigni 91-01809 Raymond, James & Associates, Inc. Phil J. Hororwitz Claimant, Virginia R. Livigni was pro se. For Respondents, Raymond James & Associates, Inc. ("Raymond James 11 ) and Phil Horowitz ("Horowitz") : Kevin