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

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.. CASE #90-00864 AWARD In the Matter of the Arbitration Between Daniel Murphy Claimant vs . Dain Bosworth, Inc. Respondent CASE SUMMARY Daniel Murphy, in a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1990, alleged that Respondent Dain Bosworth, Inc. negligently misrepresented and supplied incorrect information concerning MiniScribe Corporation

l?i * tie Matter of the Arbitral T- Schneyer Among Case 90-OOB63 Award vs . ill. l.yn< :li Fioj'C'? Fenn*? 1 c Claimant, Alvin T. ;;< ;-h'!- u thereinafter "Claimant' \, Alleged that Respondent Merrill Ly»".h Pierce Fennet & Smith, Inc. (hereinafter " Respondent") of I he fee requirements for his individual retirement account. Claimant alleged that Respondent deducted the fees from Claimant's account without explaining why the fees

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary Ellen Donahue Case #90-00859 vs. Merrill Lynch, Pierce, Fenner & Smith Inc. AWARD CASE SUMMARY Claimant alleged that respondents' agent in the course of selling life insurance induced her decedent husband to misstate medical information on his life insurance. Claimant alleges that the respondents wrongful and fraudulent acts resulted in the loss of the

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street HKTICNAL ASSOCIATE OF SttJUtti-mS DEALERS New York ' New York 10004 In the Matter of the Arbitration Between Name of James E. Ogxam & Gloria S. Ogram 90-00858 "flame or Respondent (s) PalnpWebber, Jackson & Curtis, Inc. Richard M. Otterson dainants James E. *T*H Gloria S. Ogram ("Qgrams 11 ): Eugen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fred M. Hall Claimant vs. 90-00851 Ray Johnston; Capital First Securities, Inc.; Dillon Securities, Inc, and Cooper- Daher Securities, Inc. Respondents REPRESENTATION OF PARTIES Fred M. Hall was represented by Ramsay Slugg, Esq., Gandy, Michener, Swindle, Whitaker & Pratt of Fort Worth, Texas. Respondents did not appear. CASE SUMMAR

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. Michael Henry Respondent(s) NOTICE OF ARBITRATION AWARD 90-00850 CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Michael Henry refused to repay amounts owed to Claimant due to an erroneous credit to Respondent's account. Respondent did not defend. RELIEF REQUESTED