N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot' the Arbitration Between Name of Claimants Richard T. and Sarah E. McGuerty 93-02128 Name of Respondents Prudential Securities. Inc. David R. Schuitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 27, 1993, Claimants Richard T. and Sarah £. McGuerty, who appeared Pro Se, alleged that Respondent David R. Schuitz, thro

N.A.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Carol B. Petersen and 93-02123 Name of Respondent Ferren Rajput REPRESENTATION OF PARTIES Carol B. Petersen ("Claimant") appeared pro se. Ferren Rajput ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about May 26, 1993. Submission Agreement of Claimant was signed on June 18,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Richard D. McCutcheon, Claimant, v. No. 93-02113 A,G. Edwards & Sons, Inc. Richard Bundrick, Respondents. REPRESENTATION OF PARTIES For Claimant: Gary P. Barkett, Esq., of the Davidson Law Firm, Ltd., Little Rock, Arkansas. For Respondents: Phyllis A. Radovich, Esq., Litigation Counsel, A.G. Edwards & Sons, Inc., St. Louis, Missouri. CASE INFORMATION Claimant's Statement o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James R. Herndon 93-02110 Name of Respondents Stratton Oakmont, Inc. John Squeri CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 26, 1993, Claimant James R. Herndon, who appeared Pro Se, alleged that Respondent John Squeri, through the Respondent firm, Stratton Oakmont, Inc., u

- 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