N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jasvir Singh Basi 95-04680 Name of Respondents Prudential Securities, Inc. Gary Davis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, :I99S'jiCSaiiUiHlt Jasvir Singh Basi ("Claimant"), who appeared Pro Se, alleged that Respondent Prudential SecuritiesrJnfcisj ("PSI"), th

NASD Regulation, Inc., Award In the Matter of Arbitration Between Daniel P. Son and Philip A, Pendergraft, Claimants, and No. 95-04678 Southwest Securities, Inc., f/k/a Barre & Co., Inc., and David Glatstein, Respondents. REPRESENTATION OF PARTIES Claimants, Daniel P. Son ("Son") and Philip A. Pendergraft ("Pendergraft") and Respondent, were represented by Thomas W. Craddock, Esquire, of McGuire Craddock Strother & Lutes, PC, located in Dall

NASD Arbitration No. 95-04676 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Gregg Heschong Name of Respondents Smith Barney, Inc., Barry Garapedian REPRESENTATION For Claimant: Steve A. Buchwalter, Esq. Bruce Garfield Law Offices of Steve A. Buchwalter Encino, California For Respondents: Marion S. Chan, Esq. Smith Barney, Inc. New York,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) PaineWebber, Inc. Name of Respondents') Lee S. Rosen 95-04502 © Matronal Assod;v''«n Securities DenJc "•** fQO< AH Rights RescrvwJ For Claimant PaineWebber, Inc. ("Claimant"), Evan J. Charkes, Esq. of PaineWebber, Inc. located in Weehawken, NJ. : ~ For Respondent Lee S. Rosen ("Respondent' 1 ), Steven J. C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cooper Resources Company, ULC, Claimant v. Raike Financial Group, Inc. and David L. Slavish, Respondents Case Number 01-01982 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Cooper Resources Company, LLC, hereinafter referred to as "Claimant": Eric Hovdesven, Esq., Sadler & Hovdesven, P.C., Atlanta, Georgia. For Raike Financial Group, Inc. ("Raike") a

N.A.S.D. AWARD ^NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles G. Durr 95-04494 Name of Respondents Kochcapitai P.ussell Koch CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 21, 1995, Claimant Charles G. Durr, who appeared Pro Se, alleged that Respondent Russell Koch ("Koch") failed to handle his account as was agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James C. Stathis Roger M. Hoyt Nathan Markowitz Nicholas Cinelli 95-04489 Name of Respondent John Hancock Mutual Life Insurance Company REPRESENTATION For Claimants, James C. Stathis ("Stathis"), Roger M. Hoyt ("Hoyt"), Nathan Markowitz ("Markowitz") and Nicholas Cinelli ("Cinelli"): Elihu H. Herman, Esq. of Krug, Berm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Adam Segan 95-04487 Name of Respondent Pmdential Securities Inc. David Stack David Miller REPRESENTATION For claimant Adam Segan ("claimant") appeared Darren Lampert, Esq. of th£ lawl:flim of -• Lampert & Lampert located in New York* New York. l.nmperi K: tar For respondents Pmdential Securities Inc. ("Prudentiar), Davi

AWARD NASD Regulation, Inc. Office of Dispute Resolution ® National Association Securities DeaJrr * In the Matter of the Arbitration Between n Lawrence R. Findley, and Helen Findley, All Rights Reserved Claimants, v. No. 95-04486 Century Capital Corp. of South Carolina, and William D. Hensley, Respondents. REPRESENTATION OF PARTIES Claimants Lawrence R. Findley and Helen Findley were represented by Robert J. Findley; Esquire of H

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. vs. Case No. 95-04484 Name of Respondent James Dorney REPRESENTATION For Claimant Gilford Securities, Inc. ("Claimant"), Joel Levinson, Esq. in house counsel located in New York, New York. Respondent James Dorney ("Respondent") did not appear at the hearing and is located in. East Moriches, New York. CASE INFORMATION