N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants MODIFIED Paul F. Dicken, Jr. AWARD 94-00644 Name of Respondents Hampton Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1994, Claimant Paul F. Dicken, Jr., who appeared Pro Se, alleged that he purchased 5,000 shares of Nutri-Products, Inc. stock from

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sandy and Terry Lynn 94-00643 Name of Respondents Prudential Securities, Inc. Todd S. Morgan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22,1994, Claimants Sandy and Terry Lynn, through their counsel James J. Eccieston, Esq., Chicago, IL, alleged that Respondent Prude

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Cli Mark Grenquist 94-00635 Names of Respondent Dean Witter Reynolds, Inc., George S. Minniti and Richard S. Martin REPRESENTATION For Claimant: Mark Grenquist ("Grenquist") was represented by Iris K. Socolofsky-Linder, Esq. of Fraser, Trebilcock, Davis & Foster, P.C., Lansing, Michigan. For Respondents: Dean Witter Reynolds,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James D. and Colleen M. Haggart 94-00611 Name of Respondents Hanover Sterling & Co., Ltd. MarkSavoca CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1994, Claimants James D. and Colleen M. Haggart, who appeared Pro Se, alleged that Respondent Mark Savoca ("Savoca"), a broker at Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Reznik &. Sons Corp. 94-00605 of Respondents Lew Lieberbaum & Co. Inc., Michael J. Finnan, and Jay Israel OF PARTI Claimant Reznik & Sons Corp. ("Reznik & Sons") was represented at the hearing ProSe. Respondents Lew Lieberbaum & Co. Inc. ("Lew Lieberbaum") and Michael J. Finnan ("Finnan") were represented by co-counsel Leonard A. N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ted Singleton and Barry D. Singleton 94-00603 Name of Respondents Chatfield Dean & Co., Gary H. Kimball, and JoKiraball. REPRESENTATION The Claimants, Ted Singleton ("Ted") and Barry Singleton ("Barry"), were represented by Charles Wbitaker of Witt, Gaither & Whitaker, P.C. located in Chattanooga, TN. The Respondents,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Kemper Securities, Inc. NASD Arbitration No. 94-00601 Name of Respondent(s) Lawrence Nusbaum REPRESENTATION For Claimant: A. Brad Busscher, Esq., Kemper Securities, Inc., Chicago, Illinois For Respondent: No Appearance by Respondent CASE INFORMATION Statement of Claim filed: February 16, 1994 Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ^ Name of Claimant Arnold J. Cogan Case# vs. 94-00600 Name of Respondents Brown (Alex) & Sons Incorporated Richard D. Billera Robert Oram REPRESENTATION For Claimant, Arnold J. Cogan ("Claimant"), Marc H. Edelson, Esq. from the law firm of Hoffman & Edelson, located in Jenkinstown, Pennsylvania. For Respondents, Alex Brown & Sons, I

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Jerald Robert Kieman and Andrew D. Kiernan and 94-00598 Name of Respondent Piper Jaffray, Inc. REPRESENTATION OF PARTIES Claimants, Jerald Robert Kieman and Andrew D. Kieman were represented by Daniel J. Boivin, Esq. of Meshbesher & Spence, Ltd., Minnetonka, Minnesota. Respondent, Piper Jaffray, Inc. was represented by

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert Berkowitz Linda Berkowitz Case No. 01-02948 Name Tucker Anthony Midlantic Division Hearing Site- Philadelphia, PA Stephen A. latarola PF.PPF.OT.NTATJON OF PARTfF.S Claimants Robert and Linda Berkowitz, hereinafter referred to as "Claimants": Marc S. Henzel, Esq., Law Offices of Marc S. Henzel, Bala Cynwyd, Pennsylvania. Respondents, Tucker Anthony Midlant