NATIOHAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Kathleen Lea Lanier, ) Marion Lee Dowell and ) Leta E. Dowell ) Claimants ) ) AWARD VS. ) ) NASD #90-00047 Shearson Lehman Hutton, Inc., and ) RusBell A. Beck ) Respondents ) __ ) SUMMARY QF ISSUES This case was filed with the National Association of Securities Dealers, inc., ("NASD") on January 2, 1990. Claimants alleged v

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Technical Specialty Systems, Corp. and Names of Respondents American General Securities, Inc. Dennis T. Siamis Case Number: 01-03117 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Technical Specialty Systems, Corp. ("Claimant") was represented by John D. Hudson, Esq., Williams, Blackburn, Hudson & Maharry, Des Moines, Iowa. American G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ~In the Matter of the Arbitration Between Name of Claimant; (s j Ella Turk 90-00042 Name of Respondent/s) Boenning & Scattergood vs. Francis Simola Martin W. Dowdell Heard before: Name Public/Industry Richard B. Laden, Esq. Public Arbitrator Harold Stein Public Arbitrator Allen Lang Industry Arbitrator This matter was initiated by a Statement of Claim filed with th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nick Yie-Ming Hsieh Lisa Li-Hsia Hsieh Claimants vs. Shearson Lehman Brothers, Inc. Harold Lau ) ) AWARD ) NASD No. 90-00040 Respondents SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 2, 1990. Claimants alleged misrepresentation and lack of suitability in the trading

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rose! K. Jacobson Claimant vs. Shearson Lehman Button, Inc. Marshall Pilkington Ronald Shores Respondents ) ) AWARD ) NASD NO. 90-00037 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 2, 1990. Claimant alleged: violation of the Securities and Exchange Act (SEA),-* 15

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — — — —. W_OTM«W_M*_.»_MM._M»«_ — — •••— -• — «Bk v «_ V .» M .__ wv4B _ HM4 .w HV _ fl » H it In the Matter of the Arbitration Between Name of Claimant (s) William H. MacMillan and Ann MacMillan 90-00036 Name of Respondent(s ^ Investment Direction Associates, Inc. ._«•.*«..••.»__—^..___..*_.*.v —— ••»__*••»•«_.«___.._._.»_^»._.«. ta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Mary Wright Maurice Wright Fleta Wright 90-00034 Mane of Christopher M. Reddington In a claim filed with the National Association of Securities Dealers ("NftSD") on or about December 29, 1989, Mary Wright, Maurice Wright and Fleta Wright (collectively "Claimants") alleged that Christopher M. Reddington ("Respondent") omitted to s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gopal C. and Kavita G. Bhagat Claimant(s) ARBITRATION VS. AWARD 90-00031 John Wheeler and Ron D. Wheeler Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Gopal C. and Kavita G. Bhagat alleged that Respondent(s) John Wheeler and Ron D. Wheeler made misleading statements, used high pressure sales tactics and failed to honor promises made to indu

Arbitration ** N.A.S.D. AWARD National Association of Securities Dealers, Inc. One East Broward Boulevard NATIONAL ASSOCIATION OF SECURITIES DEALERS Suite 1 °°° Ft. Lauderdale. Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Q mant s Joseph and ttery Connor 90-00027 Rppnd r ' J.W. Charles Securities Kenneth Brown Wend/ Brown J.W. Brown Investments dba K.W. Brown Co Heard before th

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF hLhXJUkiTlES DEALERS In the Matter of the Arbitration Between flfam«> of na-JTnant Dmfllrt E. Clark 90-00025 Name of Respondents Merrill Lynch Pierce Fenner & Sndth Inc * Wendell C. Hoover National Association at Securities Oealen, Inc. NASD Rnanctal Center 33 Whitehall Street New York. N.Y.100O4 FAX (212) 858-4389 For dainsnt: For Reapcodeat: Tinothy K. Miller, E