Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louis Nicoll, (Claimant) vs. Prudential Securities Incorporated and Manulife Financial Venture, (Respondents) Case Number: 00-03625 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Louis Nicoll, hereinafter referred to as "Claimant", appeared pro se. Respondent; Prudential Securities Incorporated ("Prudential"): Marcia L. Williams, Esq., Assistant Gener

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold and Eleanor Friedman 93-01409 Name of Respondents Prudential Securities, Inc. Elaina S. Spilove CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1993, Claimants Harold and Eleanor Friedman, who appeared Pro Se, alleged that Respondent Elaina S. Spilove, Financial Ad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Thomas D. Lipkin Lane Lauri Almany Lauri Almany C/F Laureen Lipkin Lane Ugtmany NASD Arbitration No.93-01404 Name of Respondent Smith Barney Harris Upham & Co., Inc. Gary A. Sabshon REPRESENTATION For Claimants: Bruce R. Safran, Esq., Tarzana, California For Respondents: Alejandro Schwed, Esq., Smith Barn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Irvin G. Small, TTEE 93-01399 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Beatrice Albrecht CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1993, Claimant Irvin G. Small, who appeared Pro Se, alleged that Respondent Shearson Lehman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber Incorporated Name of Respondent Joel Krinsky dba J&J Investments MODIFIED AWARD 93-01387 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1993, Claimant PaineWebber Incorporated, by and through their in-house counsel Garry J. Stegeland, Esq., alleged that on or

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lydia & Dominic LaLumia 93-01380 Name of Respondent First Institutional Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1993, Claimants Lydia & Dominic Tji^mia, who appeared Pro Se, alleged that in January, 1988 Respondent First Institutional Securities Corp. by and thr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Colorado Chemical Company Profit Sharing Plan and Donald Kaufmann, TTEE and 93-01373 Name of Respondents Merrill Lynch. Pierce Fenner &. Smith. Inc. and Mark Jones REPRESENTATION OF PARTIES Colorado Chemical Company Profit Sharing Plan and Donald Kaufmann, TTEE ("Claimants") were represented by James A. Shpall. Esq. o

INDUSTRY N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeff H. Peterson 93-01371 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1993, Claimant Jeff H. Peterson, who appeared Pro Se, alleged that Respondent PaineWebber, Inc., through its branch manager, Mike Matthews, terminated hi

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Richard Blackman & Co., Inc. 93-01370 Name of Respondent Donald Hawiyluk CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1993, Claimant Richard Blackman & Co., Inc., by and through its President Joseph J. McCaffrey, alleged that Respondent Donald Hawryluk opened an account on Nov

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03623 John S. Kriskey and Ann Kriskey, Claimants vs. George Halloran, First Union Brokerage Services, Inc., Paul Costello, Laura Smith, Rosalind Klein, and Dwight C. Moody, Respondents. ATTORNEYS: For claimants appeared John P. Coleman, Esq., Stamford, CT For respondents appeared in-house counsel for First Union Brokerage Services, Inc., James A. Vollins, Esq., Charlotte, NC. D