Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant P.ase Number- 02-07857 Zachariah K. Mathai Name of the Respondent Hearing Site: Philadelphia, PA Prudential Insurance Company of America Nature of the Dispute: Associated Person vs. Member. RFPRFSFNTAT1ON OF PARTTFS Claimant, Zachariah K. Mathai, hereinafter referred to as "Claimant", represented himself at the hearing. Respondent, Prudential Insuran

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Pase Number 02-07855 Gerald C. Becker Joanne M. Becker Names of the "Respondents Hearing Site: Pittsburgh, PA Paine Webber, Inc. n/k/a UBS Financial Services, Inc. and Randolph C. Stoltz Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Gerald C. Becker and Joanne M. Becker, hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: pinf the Claimant Case Number- 02-07848 George Aubrey es of the Respondents Hearing Site: Pittsburgh, PA Lehman Brothers, Inc. Kenneth N. Goldman David A. Gruber Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, George Aubrey, hereinafter referred to as "Claimant", was represented by Frank Viola, Esq., Viola, Benede

Award NASD Dispute Resolution Tftf*. -. In the Matter of the Arbitration Between: ""* "° A g: §c Shafiq Hasan, Trustee for the Pro-Guard International, Inc. Pension Fund and Pro-Guattfu ! SF^^M, - International, Inc., Claimants v. First Union Securities n/k/a Wachovia Securities Inc., ~" L "- -S ;,c; Respondent Case Number: 02-07847 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04288 PaineWebber Incorporated, Claimant vs. Barbara Russell, Respondent. ATTORNEYS: Claimant, PaineWebber, Inc., ("Claimant"), appeared through its counsel, Romaine L. Gardner, Esq., Staten Island, NY. Respondent, Barbara Russell, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: September 28, 2000 CASE SUMMARY: Claimant alleged that Respondent wrote a check i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Haseen Akhtar, (Claimant) vs. Datek Online Brokerage Services, LLC (Respondent), Case Number: 00-0439 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Haseen Akhtar, ("Claimant"): represented himself. Respondent, Piper ("Respondent"): Datek Online Brokerage Services, LLC, Asha Dhillon, Esq. and G. Thomas Fleming, Esq., Jones, Bell, Abbott, Fleming & Fitz

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brett Richman, Claimant v. Kelly Dougherty and UBS Financial Services Inc. f.k.a. UBS Paine Webber, Inc., Respondents Case Number: 02-07846 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Daniel W. Dunbar, Esq. Law Offices of Daniel W. Dunbar Torrance, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between; UBS Internationa], Inc. (Claimant) v, David Heffsman (Respondent) Case Number. 02-07841 Hcarijjjkgjjg: New Yoik, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS International, Inc. hereinafter referred to as "Claimant": Deborah H, Gottlieb, Esq., Davidson & Grannwn, LLP, Northvale, NJ. Respondent David Heffeman hereinafter refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William Gabrilowitz, Trustee of the William Gabrilowitz Trust U/A/D 01/26/88 and Debra Gabrilowitz, Trustee of the Ann Gabrilowitz Trust U/A/D 01/26/88 Names of the Respondents Prudential Equity Group, Inc. and Alan Marshall Kestin Case Number: 02-07839 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm and Associated

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Charles B. Boudreaux Betty F. Boudreaux Names of the Respondents NYLife Securities, Inc. John Steven Blount New York Life Insurance and Annuity Corp. Case Number: 02-07838 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person and Non-Member. REPRESENTATION OF PARTIES For Charles B. Boudreaux and