N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Alice Rose Kowalson. M.D. and Alice Rose Kowaison. M.D. Pension Plan 93-01701 Names of Respondents Fahnestock & Co.. Inc.. John Boesel. and Dickinson & Company REPRESENTATION Claimant, Alice Rose Kowalson was represented by L Clayton Berger, Esq. of Teilborg, Sanders & Parks, Phoenix, Arizona. Respondent, Fahnesto

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alfred G. Brand 93-01698 Name of Respondents Barry Chanipney Robert Brown CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 28, 1993, Claimant Alfred G. Brand, who appeared Pro Se, alleged that in February, 1991 Respondent Robert Brown telephoned Claimant to say he h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS : In the Matter of the Arbitration Between Name of Claimant Earl Avery 93-01696 Name of Respondents Raymond James & Associates, Inc. Delaware Charter Guarantee & Trust Co. Robert Wolfson J.B. Hanauer & Co., Inc. Neil Cohen REPRESENTATION For Claimant, Earl Avery ("Claimant"): Ashirah S. Napthalli, Esq. located in Laurel ton, New York. For Respondent, Raymond James

N.A.S.D* AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Donald M. Wright 93-01694 Name of Respondent R.G. Dickinson REPRESENTATION OF PARTIES For Claimant, Donald M. Wright at the hearing: Bruce Pearson, Pearson, Inc., Fargo, North Dakota. For Respondent, R.G. Dickinson at the hearing: Catherine A. Gnatek, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed on: April 27, 1993

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant William N. & Corrine E. Bickel and 93-01692 Name of Respondents Donald J. Denton W. Russell Denton Strategic Financial Planning Center, Inc. REPRESENTATION OF PARTIES William N. & Conine E. Bickel ("Claimant") were represented by Walter V. Mines, Esq., Springfield, Ohio. Donald J. Denton and W. Russell Denton ("Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants George Vetrano Carol Vetrano No. 93-01635 Name of Respondents Steven E. Kaye Yaeger Securities REPRESENTATION OF PARTIES For Claimants: Lawrence E. Condit, Esq., Tucson, Arizona. For Respondent Yaeger Securities: David Mahler, Yaeger Securities, Encino, California. Respondent Steven E. Kaye failed to appear. CASE INFORMATION Statement of Claim filed o

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Glenn Berkley and 00-03664 Scottsdale, Arizona Name of Respondent UBS PaineWebber, Inc. Glenn Berkley ("Claimant") was represented by John A. Agostini, Esq., Cain Hibbard Myers & Cook, PC, Pittsfield, Massachusetts and Daniel R. Solin, Esq., Pittsfield, Massachusetts. UBS PaineWebber, Inc. ("Respondent") was represented by Michael S. Kim, Esq. and M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant William D. Blackwood and Donna Blackwood and 93-01681 Name of Respondents Mark Ivan Bass Pennington Bass Equities, Inc. Derand Pennington Bass Inc. REPRESENTATION OF PARTIES William D. Biackwood and Donna Blackwood ("Claimants") were represented by John Lawrence Allen, Esq., Carlsbad, California. Mark Ivan Bass, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD 93-01661 In the Matter of Arbitration Between Name of Claimant Betty Burfeindt Name of Respondents Shearson Lehman Brothers Inc. n/k/a Smith Barney Shearson, Inc. and Kathy Valentine CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1993, Claimant Betty Burfeindt, who appeared Pro Se, alleged that Respondent Kathy Va

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard A. Rodriquez 93-01655 Name of Respondents Willard B. Kille III; Entirety, Inc.; Team Financial, Inc. REPRESENTATION For Claimant: Richard A. Rodriquez ("Rodriquez") appeared pro se. For Respondents: Wiliard B. Kille III ("Kille"), Entirety, Inc. ("Entirety") and Team Financial, Inc. were represented by Willard B. Ki