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

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Connors, Shirley Connors, et al. Claimants vs. Shearson Lehman Hutton, Inc. Respondent CASE* 90-00633 ORDER It is hereby ordered that this arbitration shall proceed on a consolidated basis limited to those Claimants who are named and have filed Submission Agreements in this matter. The hearing will be conducted in Los Angeles, California by a n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen Freund Gaines Claimant vs. 90-00631 Financial Planning Consultants, Inc« and Gary Clermont Respondents REPRESENTATION QF PARTIES Claimant Helen Freund Gaines was represented by Laurence Mass t Esq., Clayton, Missouri. Respondents Financial Planning Consultants, Inc. and Gary Clermont were represented by Kent S, Ghahremani,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles M. Bagley, Jr. f M.D. ) Nancy Bagley, JTWROS ) Claimants ) ) AWARD vs. ) ) NASD # 90-00623 Oppenheimer & Co. f Inc. ) Donald B. Zweibei, Jr. ) Respondents ) ) SUMMARY OF ISSUES Claimants alleged Respondents made unauthorized purchases and sales of common stock in their account while they were out of th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between I£WIS 0. WOQCMARD, JR. Claimant and E.F. HC7TTCN & CCMPANY, INC.; SHEARSGN I£HMAN HUTTCN, INC. and LEFOT JACK NICHOLS Respondents TWITES Lewis O. Wdodward, Jr. was represented by Barry C. Barnett, Esq. of Suattan Gogfrey, E)allas f Texas. * Shearson Lehman Brothers, Inc. and Leroy Jack Nichols were represented by j. Hamilton

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of (TlaiTnant(s) ) Jfery L. Ferrarini Name of t (s) ) ) ) ) ) Donaldson Lufkin & Jenrette Securities } Feoner Financial, Inc. ) ) ) ) Case No. 90-00618 Philip Leon For Claimant, Mary Ferrarini ("Ferrarini"): Philip Soyderburn, Esq. of Snyderburn, Rishoi & Swexm. Foot Respondent, Donaldson, Lufk

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between; Lon Weisman, (Claimant) vs. Kirlin Securities, Inc., Radame Gonzalez, Mark Pollack, David Schwartz, Jeffrey Silberman, Josephthal & Co., Inc., and Ryan Beck & Co., LLC, (Respondents) Case Number: 00-04744 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lon Weisman, hereinafter referred to as "Claimant": Richard W. Vallario, Esq., Attorney at Law, Nutley