NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC* In the Matter of the Arbitration Between William Troupe Claimant vs. First Investors Corp. Walter H. Markowitz Respondents CASE #90-01936- AHARD CASE SUMMARY William Troupe, in a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1990, alleged that Respondent Walter H. Markowitz, his broker at First Investors Corporation, assured him that the mutual b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Between Name of Stuart James Conpany, Inc. William C. Kennington 90-01930 Mams of RMrr-trv-lont- / a ) Bay Area Management Stanley Beck Claimant was represented by Ms. Elizabeth D. Wills. Respondents Bay Area Management and Mr. Stanley Beck were represented by Mr. Stanley Beck. Respondent William Kennington represented himself. This matter

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. rt juL c I In the Matter of the Arbitration Between Name of Claimant El Paso County School District #11 and 90-01929 Name of Respondents Bear Stearns & Co., Inc., Mortgage Government Securities , Inc., M. G. S. I. Incorporated, M.G.S.I. Securities r Inc., Frank J. Marx, Stephen F. Caldwell, Robert H. Quarles REPRESENTATION OP PARTIES Claimant was repr

MODIFIED 3/12/92 Arbitration « w a c n atjfcun National Association of N.A.b.c. AWARU Securities Dealers, Inc. NASD Financial Center NKTICNRL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimant: Dale Steven Foulk 90-01927 Name of Respondents; A.G. Edwards & Sons, Inc. Nicholas S. locco For Claimant: Mr. FouUc appeared pro se.

IHUG-01-1991 18 = 24 FROM ASHER 8, MfiRTlN, PTTYS 2128584389 P.02 OF SKORERBS Itotter of th* A&itxaticn and Janmetta Hubb«rt 90-01923 D»H. Blair & Gcqpecpy Mia* ArbHrctiOB NstioneiAeeeeiatlenol •eourW*$Dt«ler*,lnc< NASD Flnancitl Center 33 WWtehtll Street Ntw York, New York 10004 Fear Oainntt Gwry 9* I*vign«, Saq., of Pttrldt M, fttu« i AMocsiateBi P.C. Fta: ta: TtxU C. Sttdclar, Seq,, ofi Bachner Xall«y Polovcy 6 Milter

CASE J90-01921 AWARD In the Matter of the Arbitration Between Deborah -Du-fresne — - Claimant vs. Mark Allbaugh Respondent CASE SUMMARY Deborah Dufresne, in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that Respondent Mark Allbaugh made an unauthorized purchase of EMS stock with the entire proceeds from the sale of her Scoreboard stock. Respondent, Mark Allbaugh, maintained that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Henry C. and Monique Gross vs. Claimants Shearson Lehman Hutton f Inc. Jeffrey Gerson Respondents CASEt 90-01920 Heard before: Joseph A. Schubin r Esq. Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990 the Claimants Henry C. and Monique Gross alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90-02 AWARIT In the Matter of the Arbitration Between David W. & Julie M. Wilson Claimants vs. Stuart-James Co. Respondent CASE SUMMARY Pro Se Claimants, David W. & Julie M. Wilson, in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that Respondent Stuart-James Company f Inc. misrepresented the sale price set for an initial

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pamela Lytel and Bret Lytel, (Claimants) v. Morgan Stanley DW, Inc. and Lisa Byron, (Respondents) Case Number: 00-04806 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Pamela Lytel and Bret Lytel ("Lytel"), hereinafter collectively referred to as "Claimants": Paul J. Sussman with law offices located in Chicago, Illinois. Respondent Morgan Stanley DW,

Arbitration N*AiGtDi AWARD National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS SSmte^&ree"*™ New York, New York 10004 In the Matter of the Arbitration Between of Claimant Wallace Dahlke Case # vs 90-01915 Name of Respondents Jforshall Davis, Inc. Kirk M. Johnson Heard before: Name , _ Floyd C. Hale Public This claim was initiated by a Statement of Claim filed with the National