N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant(s) ) ) Jack Friedlander, as Trustee for Jack ) Friedlander Trusts #2 and #3 - ) Lois Nichamin as Trustee of the ) Lois Nichamin Revocable Living Trust ) Larry Nichamin, as Trustee for the ) I^rry Nichamin Trust ) ) ) Case Ifos. 90-Q] ) Name of Respondentfs^ ) ) Margaretten Securities Corporation )

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John H. vs . Harold F Boenning Lorenz and Leo . Scattergood, & Scattergood, J, Lorenz Claimants Jr. , and Inc. Respondents X X X X X X X X X X CASE NO. x 90-01042 AWARD CASE SUMMARY Claimants, John H. Lorenz and Leo J. Lorenz ("Claimants"), alleged that Respondent Harold

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtetter of the Arbitration Between Name of Claimant Milton J. Merrick and 90-01041 Name of Resnonrten-t-s First Investors Corporation and David Wright In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 9, 1990, Milton J. Merrick ("Claimant") alleged that First Investors Corporation ("FIC") f David Wright ("Wright") and

N.A.S.D. AWWRD ASSOCIATION OF SECURITIES DEALERS la tbe Matter of the Arbitration Between Richard and Barbara. Sowards 90-01039 Wadbush, Morgan Securities> Inc. Joseph rrnnmn limit) Gary Feldtaan Claimant: M. Nelson Segal, Esq. For Respondent: James E. Rogers, Esq. - Riddell, Williams, Bullitt & Statanant of Claim filedi April 18, 1990 Joint Statement-of filed by R 4, 1990 WaJjuiih, Morgan Securities, Inc. and Gary Fttcta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In. the Matter of the Arbitration Between Loretta A, Haack vs. Claimant AWARD f90-01G38 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY In a claim filed with the NASD on April 10, 1990 Claimant Loretta A. Haack alleged the Respondent misrepresented information regarding investments to her and failed to provide the Claimant with prospectuses, disclosure documen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Estate of Margaret C. Torbert E.L. Torbert, Jr. and June Torbert JTTEN Case No, 00-04750 Names of Respondents Morgan Keegan & Company, Inc. Dean Morgan Paugh Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For the Estate of Margaret C. Torbert and E.L. Torbert, Jr. and June Torbert JTTEN, hereinafter collectively referred to as "C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Janet K. Toenjes AWARD Claimant 90-01036 Swartwood Hesse, Inc. and Richard Moyer Respondents CASE SUMMARY Claimant, Janet K. Toenjes ("Toenjes"), alleged that Respondents, Swartwood Hesse, Inc. ("SWI") and Richard Moyer ("Meyer"), traded Claimant's account on a discretionary basis and placed her monies in unsuitable investments. Claimant further

NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen j~ Name of _Ql^lniarvh.fs| ) ) Vera Hampton Name of Respondent (s 1 ) Glenn Siesser Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 ) Case No.90-00637 Heard before the Arbitrator: Robert Herschmann, Esq.

/VASO N.A.8.D. AHARD g) NATICNMi ASSOdAZICBi OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Systems, Inc. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Pa.td.ent vs 90-00636 Mama of Gary Bryant Heard before the members of the Arbitration Panel: Name Publ ic / Trains t3 Daniel E. Gulden Public

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marjorie Hilsenrad Diane M. Spaugh Claimants vs. Shearson Lehman Brothers, Inc. Keith Woodcock Respondents CASE #90-00634 ANARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1990, Claimants Marjorie Hilsenrad and Diane M. Spaugh, who appeared Pro Se, alleged that Respondents