N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fay S. Lipton 93-04985 Name of Respondents T. Rowe Price Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1993, Claimant Fay S. Lipton, through his counsel Benjamin B. Lipton, Esq., Coconut Creek, Florida, alleged that he placed an order to purchas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Hayett 93-04984 of Respondent Kemper Securities, Inc. REPRESENTATION For Claimant: James Hayett ("Hayett") was represented by James A. Bolt, Esq., of New Berlin, Wisconsin. For Respondent: Kemper Securities Inc. ("Kemper") was represented by Michael H. Schaalman, Esq. of Quarles & Brady, located in Milwaukee, Wisconsi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Kemper Securities, Inc., Claimant/Counterrespondent, v. No. 93-04983 John Holland, Respondent/Counterclaimant REPRESENTATION OF PARTIES Claimant Kemper Securities, Inc. ("Claimant") were represented by William D. Nelson, Esq., of Robinson, Waters, ODorsio and Rapson, Denver, Colorado. Respondent John Holland ("Holland") appeared at the hearing, and was assisted by Martin Kass, J.D., P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Scott Lane Wenger 93-04982 Name of Respondent Thomas James & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1993, Claimant Scott Lane Wenger, who appeared Pro Se, alleged that Respondent Thomas James & Associates, Inc. failed to follow his instructions to

ll-ft N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Howard L.Weils No. 93-04975 v. Name of Respondents Waddell & Reed, Inc. Leslie C. Stipek REPRESENTATION For Claimants: Paul N. Young, CEO - Securities Arbitration Group, Inc. - Marina Del Rey, California For Respondents: David R. Burford, Esq. - Waddell & Reed, Inc. - Shawnee Mission, Ka

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02849 The Joseph Kenith Revocable Trust Dated 1/14/99, Joseph Kenith Trustee, and Joseph M. Kenith Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter and Andrew Kronitz REPRESENTATION OF PARTIES For The Joseph Kenith Revocable Trust Dated 1/14/99, Joseph Kenith Trustee, and Joseph M. Kenith,

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Steve Diamond, Claimants, v. NASD No. 93-4974 Comprehensive Capital Corporation, Daniel Losito and Scott Kann, Respondents. Representation For Claimant: John Farina, Esq. of Boyes & Farina, West Palm Beach, Florida For Respondent Comprehensive Capital: Harold Geringer, Esq. of Geringer & Dolan, New York, New York For Respondent Daniel Losito: Pr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael K. Sheeley 93-04971 Name of Respondent G.N.A. Securities Co., Inc. REPRESENTATION For Claimant Michael K. Sheeley ("Claimant") appeared Hay ward Richard Pressman, Esq., sole practitioner located in New York, New York. For Respondent G.N.A. Securities Co., Inc. ("Respondent") appeared T. Dennis George, Esq., of the l

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. I?JC . In the matter of the Arbitration Between of Claimat (s) Sarah Howe11 Lewis NASD Arbitration No. 93-04968 Name of Respondent(s) Liberty Capital Markets, Inc. Doyle Holmes REPRESENTATION For Claimant: Leslie A. Blau, Esq. and Robert C. Rubenstein, Esq., Blau & Kokoszka, Chicago, Illinois For Respondents: David M. Grey, Esq., Turner, Cooper and Reynolds, Irvine, Calif

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hui Sun 93-04962 Name of Respondent ETrade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1993, Claimant Hui Sun, who appeared Pro Se, alleged that Respondent ETrade Securities, Inc. overcharged him on an order to purchase 3,000 snares of EKC stock, which