- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or" the Arbitration Between Name of Claimants William Caldbeck and Diane Caldbeck 93-02101 Name of Respondent R.G. Dickinson & Co. REPRESENTATION For Claimants at the hearing: Bruce Pearson, Fargo, North Dakota. For Respondent at the hearing: J. Jackson, Esq. and Catherine A. Gnatek, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: / riqiinant Pagp Nnmhftr 00-03692 UBS Financial Services, Inc., f/k/a UBS PaineWebber, Inc. >Jamp rvf fhft T^PSpnndPTlts TTparinggjtg' Dallas, Texas Prudential Securities Incorporated; Jeffrey A. Ockwood; Robert E. Holland; Robert E. Gillespie; David E. Meadors; Matthew H. Fuller; and ' - i Scott R. Cameron O Claimant UBS Financial Services, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First Albany Corporation 93-02093 Name of Respondent Tracey Schusterman REPRESENTATION For Claimant First Albany Corporation ("Claimant"): Laura Hastings, Esq. and William Duker, Esq. of the law firm of Duker & Barrett. For Respondent Tracey Schusterman ("Respondent"): Edward A. Friedman, Esq. CASE INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fa) Alexander J. Belmont Wanda A. Belmont NASD Arbitration No. 93-02086 Name of Respondent is] Prudential Securities, Inc. REPRESENTATION For Claimants: Steven M. Green, Esq. and Nancy Wilson, Esq., San Diego, California For Respondent: Roberts. Ericson, Esq. and Richard W. Smirl, Esq., Keesal, Young & Logan,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daryl Kraine Case # vs. 93-02084 Name of Respondents Kidder, Peabody & Co., Incorporated James P. Dolan, Jr. REPRESENTATION For Claimant: Warren M. Schur, Esq. of Heller, Borreliz & Katz, P.C. For Respondents: Brian McDonough, Esq. of Shanley & Fisher. CASE INFORMATION Statement of Claim filed: May 20, 1993. Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Stephen Nahmias Claimant v. NASD No. 93-2083 PaineWebber, Inc. Respondent Representation For Claimant: Brian Strange, Esq., of Strange & Hoey of Los Angeles, CA For Respondent: Robert Logan, Esq. and Richard Smiri, Esq. of Keesal Young & Logan of Long Beach, CA Case Information Statement of Claim filed: May 25, 1993 Claimant's Submission Agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bradley E. Tate 93-02081 Name of Respondent Michael S. Azrak CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1993, Claimant Bradley Tate, who appeared Pro Se, alleged that Respondent Michael Azrak, who was employed by Reynolds Kendrick Stratton, failed to transfer the Claimant'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Pond 93-02075 Name of Respondent Judson Booth CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1993, Claimant Barbara Pond, who appeared Pro Se, alleged that Respondent Judson Booth of the firm Dean Witter Reynolds, Inc. made a costly mistake when he sold 800 shares of I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deborah J. Ervin 93-02072 Name of Respondents Dean Witter Reynolds, Inc. Conway Brock, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1993, Claimant Deborah J. Ervin, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its registered repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nella K. Brainis 93-02067 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Edward Joseph Carney, in CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1993, Claimant Nella K. Brainis, who was represented by Barry H. Alper of Securities Arbitration Consultants, I