Free Response - District Court of Connecticut - Connecticut

Case 3:03-cv-00644-CFD Document 299-4 Filed O6/O1/2007 Page 1 ef 3
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Case 3:03-cv-00644-CFD Document 299-4 Filed O6/O1/2007 Page 2 of 3 I
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Tel. {212} ?7¤~7lJG0 - E-mail: [email protected] I

Direct Dial (2i2) 458-1559 [
Vie. CERTiFlED_ iy‘lAiL-RETURN RECEPT REQUESTED
November T. 2001
Mr. David Gwynn ' _ ' PLAI FF S
· 7592 E. 'iardis Drive § EXHlEliT 2
segregate, Arizona 85255 · -,; g [ Qllt ile 5
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Ftez insured: ivlerit Capital Associates i i - ` C "
Matter on Michael Sowell · l
Policy No.: 473-36-20 ‘ i
Claim No.: 297-012850
Dear lvlr. Gwynn: - ‘
` I have forwarded AlG's coverage determination at this time. Please read
thoroughly and call me with any questions you may have. Please be aware, that i
this letter is not to be construed as a waiver of any policy provision. AIGTS, on
behalf of NUFIC, reserves all rights and defenses under the Policy, and at law, if
as to allegations which are not covered under the terms of the Policy. This l.
includes the right to amend the foregoing Reservation of Rights in accordance
with the policy provisions at anytime.
Please send to my attention a copy of the following materials: the power of
attorney signed by Mr. Sowell as detailed in tvir. Sowell‘s Statement of Claim and gi
confirmed during our telephone—conversation on October 16, ZDO1, lvlr. Sowelfs i
account statements reflecting all trading activity in all of his accounts with Merit,
please detail any prior violations by you, any and all complaints ivir. Sowell had
regarding the handling of his account and your responses to his complaints, any
and all correspondence from Merit, or any related entities, directed to you or any
company with which you affiliated, regarding Charter Financial Network, Inc., i.
Novation Financial Corporation or Charter 3, inc. Please also forward any and all
‘ correspondence from Merit, or any related entities, directed to Charter Financial
Network, inc., Novation Financial Corporation or Charter 3, Inc. or any of its .
Ofticer andfor Directors. Please also detail any involvement Merit had with these
entities. We also request you provide us with a narrative regarding the
information contained in the Judicial Action Disclosure in the Form BD Report,
expiring on March 31, 2GO1 relating to Arizona and or you.
. owrmn ness
- - Ators csail

Case 3:03-cv-00644-CFD Document 299-4 Filed 06/O1/2007 Page 3 of 3
Should you i·1ave`·any-questions, please do not hesitate to cali me at (212) 458-
isss. ·
Sincerely, F- __; - t
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Brian T. Conlin ` {
Claims Analyst
Financial institutions Claims
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