N.A.S.D. AWARD NATICNRL ASSOCIOTICK OF SECURITIES DEH£RS In the Matter of the Arbitration Between KMHY DOVEL HANEY Claimant and 90-00879 SHEARSCW LEHMAN MJTTCN, INC. and JULEK LftWSCN Respondents Kathy Dovel Haney was represented by John Brooks, Esq. of Nutt, Brooks S, Campbell, Wichita Falls, Texas. Shearson Lehman Hutton, Inc. and Julee Lawson vrere represented by C.W. Flynn, Esq. and Brad Foster, Esq. of Locke Purnell Rain Harrell

NATIONAL ASSOCIATION OF SECURITTE^ DEALERS. INC. In the Matter of the Arbitration Between Nan Kenny Claimant Case #90-00878 vs. Award Wolf Agency, Inc. and Gordon L. Wolf Respondents ————___________..•....———..__———————.-.——-.—————»———————— CASE SUMMARY Claimant, Nan Kenny ("Kenny"), alleged Respondents, Wolf Agency, Inc. ("WAI") and Gordon L. Wolf ("Wolf"), placed her in unsuitable investments and was aware or should have been aware of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John L. Helm r individually and as Trustee of the Pay Planning Services r Inc. Pension Plan and Pay Planning Services, Inc. 90-00877 Name of Respondents Prudential Securities Inc Roger G, Scnn Richard H. Wilson Vincent J. Holt, Jr. Heard before: Charles E. Fletcher, III Public Arbitrator Anelia

NATIONAL ASSOCIATION OF SECURITIES DEALERS AMENDED NOTICE OF ARBITRATION AWARD 90-00876 In the Matter of the Arbitration Between Frank E. Turner, Jr. Claimant(s) vs. David C. Dever Respondent(s) THIS NOTICE OF ARBITRATION AWARD SUPERCEDES THE NOTICE OF ARBITRATION AWARD DATED AUGUST 7, 1990 CASE SUMMARY Claimant(s) Frank E. Turner, Jr. alleged that Respondent(s) David C. Dever engaged in unauthorized trades. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donnie L. Martin Claimant(s) vs. Adnan Durrani Respondent(s) NOTICE OF ARBITRATION AWARD 90-00874 CASE SUMMARY Claimant(s) Donnie L. Martin alleged that Respondent(s) Adnan Durrani failed to execute a sell order as instructed by Claimant. Respondent did not defend. RELIEF REQUESTED Claimant(s) Donnie L. Martin requested damages of Nine Tho

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Christine F. Armstrong and David J. Furney vs. _ Merrill Lynch, Pierce, Fenner & and Joseph Hameline Between Claimants Smith, Inc. , * Respondents X X X X X X X X X X X X X CASE NO. 90-00872 AWARD CASE SUMMARY Claimants, Christine P. Armstrong and David J. Purney ("Claimants"), alle

Arbitration ® National Association of Securities Dealers, Inc. N.A.S.D. AWARD One East Broward Boulevard Suite 1000 NKTICNftL ASSQdKITCN OP Mmmi'iMHS DERLERS Ft - t-auderdaie, Florida 33301 (305) 522-7391 In the Matter of the Arbitration. Between Of naH-fnar>t(s) Arnold Lett 90-00870 Name of Respondent (s) Graystcne Nash, Inc. Rctoert Rode Kathleen Rock Ihonas Acfcerly Nell Gol< tau For Claimant, Arnold Lett ("

N.A.S.D. -AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between } ) ) Mame of David Friecfcnan North American Investment Corporation ) Paul Kardos ) ) Heard before the arbitrator: Marilyn B. Cane, Esq. ) Case NO. 90-00868 ) Public Claimant, David Friecinan ("Frietinan"), was represented by Russell L. Forkey, Esq. of Russell L* Forkey, P.A. Respondent, North American Investment Corpo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dr. Leslie Schaffer, as Managing Agent; Suzanne Schaffer, as Trustee; Schaffer Family Partnership Limited Partnerships; and Neurological Professionals Ltd. Purchase Plan Trust (Claimants) v. Neuberger Berman, LLC, Brian E. Harm, Jennifer K. Silver, Daniel Rosenblatt, John J. Barker, Robert J. Appel, Mike Maluf, and Mark Kleinman (Respondents) Case Number: 00-04695 Hearing

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. — ^ ^ — — «~ — V» ^ < _ _ V •* _ __^^l____ « «* < H — ••— ^ — «— •— ^ —«—.—•— — — — •••— — •— ^i»^^^«»«» — — In the Matter of the Arbitration Between Elisabeth Luder Claimant vs. Case #90-00867 Award Gordon Brick Cherry Respondent CASE SUMMARY Claimant, Elisabeth Luder, ("Luder"), alleged Respondent, Gordon Brick Cherry ("Cherry"), consistently provided misleading and deceptive information a