Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott and Bruna Dinetz, Scott and Bruna Dinetz Pension Account, (Claimants) v. Weatherly Securities Corp., William Odenthal, Livermore Capital, Robert Grabeowetski, Pelinor Group, Inc., David Gorham, Pellinore Securities Corp., and Richard Messina (Respondents) Case Number: 01-04495 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons, Non-Member,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated 93-04995 Name of Respondent Union Planters Inv Bankers Group,Inc. RKPRFSENTATION For Claimant, Lloyd S. Clareman, Esq., New York, New York. For Respondent, Robert L. Crawford, Esq. of McDonnell Boyd, Memphis, Tennessee. CASE INFORMATION Statement of Claim filed on December 2. 1993. Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter and Paticia Coffin Casetf vs. 93-04991 Name of Respondents Peek Equity Services Inc. Robert L. Peek REPRESENTATION For Claimants, Peter and Patricia Coffin ("Claimants"), Alfred Rubega, Esq., located in Concord, New Hampshire. For Respondents, Robert L. Peek ("Peek") and Peek Equity Services (collectively, "R

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of John H. St. John and Astrid St. John and 93-04990 of Respondents Edward D. Jones & Company and EDJ Holding Company HFJPRRSKNTATION OF PARTIES John H. St. John and Astrid St. John ("Claimants") were represented by Mike Griffin, Esq., Griffin & Whitten, Denton, Texas. Edward D. Jones & Company and EDJ Holding Company ("Responden

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,