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

N.A.SJX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Grant Cook, James E. Boston, Jr., Chris English, Glen Richardson NASD #94-00595 vs. Name Q Kemper Securities, Inc. Timothy Taub Terry Chase REPRESENTATION For Claimants: Gary B. Callahan, Esq., Cailahan & Deacon, Sacramento, California For Respondents: Peter R. Boutin, Esq., and Lisa M. Bertain, Esq., Keesal,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimant Comprehensive Capital Corporation 94-00592 Name of Respondent Voldemar Arnold Strasdas CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1994, Claimant Comprehensive Capital Corporation, through its Compliance Director, Fred F. Cirillo, Boca Raton , Florida, alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Clifford Raab 94-00590 Name of Respondents S.D. Cohn & Company, Inc. Sidney D. Cohn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1994, Claimant Clifford Raab, who appeared Pro Se, alleged that on June 17, 1993 he signed an employment agreement with Respondent Sidne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Randy Spicer 94-00589 Name of Respondents Prudential Securities, Inc. Richard Pascuzzi CASE SUMMARY In a claim filed with the National Association of Securities, Inc. on Febniaiy 16, 1994, Claimant Randy Spicer ("Spicer"), who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. ("Prudential") and Richard P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name Emmet C. San Agustin, Pradeep Bajaj, Reena Bajaj JTTEN, Nosrat Nabavi, M.D., and Fernando Sabado NASD Arbitration No. 94-00586 Name of Respondents Gilford Securities, Inc. and Elias Argyropoulos REPRESENTATION For Claimant: James E. Herman, Esq. Rogers, Sheffield & Herman Santa Barbara, California For Respondent: Timothy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Karen E. Linnen, individually and as administratrix of the Estate of Hilda R. Maier 94-00585 Name of Respondents First Affiliated Securities William P. Carroll PFG Securities, Inc. Spelman & Co., Inc. For Claimant Karen Linnen, individually and as administratrix of the Estate of Hilda Maier appeared Deidre S. Venab