N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mark and Donna Link 95-00451 Name of Respondent Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1995, Claimants Mark and Donna Link, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. n/k/

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Irene Seiden 95-00448 Name of Respondent} Dean Witter Reynolds Inc. Dean Witter Distributors Inc. Dean Witter Trust Co. Inter capital Quality Municipal Securities REPRESENTATION For Claimant, Irene Seiden, appeared Fredrick H. Mandel, Esq., Mandel & Mandel, New York City, New York. For Respondents Dean Witter Reynol

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Michael L. Dorsey & Lori Dorsey Name of Respondents Frederick Wiegand, Jr. Chatfield Dean & Co.,Inc. Shelley A. Jones, Jr. 95-00445 REPRESENTATION Claimants Michael L. and Lori Dorsey ("Claimants") appeared pro se. Respondent Frederick Wiegand, Jr. ("Wiegand") appeared pro se. Respondent Shelley A

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Stephen T. Rangen v. Arbitration No. 95-00444 Name of Respondent Gilford Securities, Inc. and Lawrence Wachler and Ralph Worthington REPRESENTATION For Claimant: Stephen T. Rangen In Pro Per Los Angeles, California For Respondent: Robert A. Uhl, Esq. Robert A. Uhl, Inc. Beverly Hills, California CASE INF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rimma and Leonid Sherman 95-00443 Name of Respondent Michael Bolotin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27,1995, Claimants Rimma and Leonid Sherman, who appeared Pro Se, alleged that Respondent Michael Bolotin, while employed at A.T. Brod & Co., promised to earn 3

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03816 Tearsa L. Black, Claimant vs. Magna Securities Corp. and Patricia Winans, Respondents. ATTORNEYS: For Claimant, Tearsa L. Black ("Claimant"), appeared William T. Marshall, Esq., of the law firm of Zechner Ellman & Krause, LLP, Newark, NJ. For Respondents, Magna Securities Corp. ("Magna") and Patricia Winans ("Winans"), appeared Adam C. Silverstein, Esq. of the law firm of Golenbo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Shen, (Claimant) vs. Chase Investments Service Corp, and Malcolm E. Katt, (Respondents) Case Number: 00-00390 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant David Shen, hereinafter referred to as "Claimant": Boris Lewyckyj, Esq., a sole practitioner, New York, NY. Respondents Chase Investments Service Corp. ("Chase Investments") and Malcolm E. Katt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles E. Mellon 95-00435 Name of Respondent Prudential Securities Inc. REPRESENTATION For Claimant, Charles E. Mellon ("Mellon"): Robert P. Morrow, Jr., Esq., Jacksonville, Florida. For Respondent, Prudential Securities Inc. ("Prudential"): Denis Durkin of Baker & Hostetler, Orlando, Florida. CASE INFORMATION Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ranjit Desai and Shobhana Desai 95-00428 Name of Respondents Dean Witter Reynolds, Inc. Michael Turner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1995, Claimants Ranjit Desai and Shobhana Desai, through their representative Robert M. Roth, Appleton, WI, alleged t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimants Theodore F. Labuzan Deeann S. Labuzan 95-00427 Name of Respondents Prime Charter, LTD. Corey Rockafeler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 26. 1995, Claimants, Theodore F. Labuzan and Deeann S. Labuzan, who appeared Pro Se, alleged that Respondents, Prime