NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter .of the Arbitration Between Name of Claimant^) William Robert DePalma NASD Arbitration v. No. 94-00650 Name of Rc Shearson Lehman Brothers, Inc. Christopher George Rodgers RFPRFSFMTATION For Claimant: Anthony Trepel, Esq. Trepel & Clark, P.C. San Jose, California For Respondents: William A. Hohauser, Esq. Smith Barney, Inc., New York, New York CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS • In the Matter of the Arbitration Between Name of Claimant Dennis B. Hauber 94-00647 Name of Respondents Craig Hallum, Inc. Darrell Peterson Steven Barker CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1994, Claimant Dennis B. Hauber, who appeared Pro Se, alleged that Respondent Craig Hallum, Inc. and Darrell Peters

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David May, David Franklin May, II, and M&M Enterprises, Inc., Claimants Vs. Case Number: 01-02950 Stifel, Nicolaus & Company, Inc., Roger G. Bonn, and Regald B. Smith, Respondents. Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants David May, David Franklin May, II, and M&M Enterprises, Inc. ("Claimants"), were represented by Mark E. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaineofClaiinant(s) Gregory C. Nappo 94-00645 Name of Respondents) Suppes Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1994, Claimant Gregory C. Nappo, who appeared Pro Se, alleged that Respondent Suppes Securities, Inc. withdrew $400 from his paycheck in February 1

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,