N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James G. Duffin 95-00426 Name of Respondents Thomas James Associates, Inc. James F. Takeda Timothy A, Brown CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 26, 1995, Claimant James J. Duffin, through his representative Robert M. Roth, Esq., of R.M. Roth & Associates, A

95-00424 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name of Claimant Anouar Bensouda Name of Respondents Rauscber Pierce Refsnes, Inc. Gary L. Donahue Beacon Securities, Inc. Farid Rashad REPRESENTATION For Claimant appeared Benjamin J. Golub, Esq. of the firm Rogovin, Golub, Bernstein & Wexler, New York, NY. For Respondent Rauscher Pierce Refsnes, Inc. appeared Will S, Mont

MPR-04-1996 08 = 39 FROM TO 121285S4429 P.20 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter; of the Arbitration Between Name Donald W; and Debra L. Finney 95-00418 Fidelity Investments REPRESENTATION Claimants, JDonakJ W. Finney and Debra Finney ("The Finneys"), appeared gia sg. Respondent, Fidelity Inveswnertts ("Fidelity"), was represented by Angela PauJsen and Rodney Acker of Jettkens and Giichrist located in Dall

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant John Ballard and 95-00416 Name of Respondent Fleming, Anderson, Cohen & Lee Charles F. Batey, III REPRESENTATION OF PARTIES John Baliard ("Claimant") was represented by Paul G. Bursiek, Esq., Pendleton & Sabian, P.C., Denver, Colorado. Fleming, Anderson, Cohen & Lee ("Respondent") was represented by G. David Marin, Presid

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Frank J. Lockwood Case No. 95-00414 Names of Respondents RAS Securities Corp. Robert A. Schneider REPRESENTATION Claimant Frank J. Lockwood ("Claimant") appeared pro se. For Respondents RAS Securities Corp. ("RAS") and Robert A. Schneider ("Schneider"), hereinafter collectively referred to as "Respondents," appeared Sheldon H. Gopstein, Esq., a private

NASD Arbitration No. 95-00412 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fsi Lucille G. Naef Name of Respondent(si Smith Barney Shearson Inc. Wallace Sheehan REPRESENTATION For Claimant: Robert B. Gray, Esq., Oakland, California For Respondents: Ann Parry, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: Januar

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Harold E. Bluestone 95-00409 Name of Respondent Douglas Getzke REPRESENTATION For Claimant, Harold E. Bluestone ("Claimant"), appeared Guy R. Fairstein, Esq., of the law firm Kurzman & Eisenberg located in White Plains, New York, For Respondent, Douglas Getzke ("Respondent"), appeared Edwin A. Zipf, Esq., of the law firm of Bressle

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edna E. Murray, (Claimant) v. Investors Assoicates, Inc., Morgan Grant Capital Corp., Wexford Clearing Services, Corporation, Fiserv Correspondent Services, Inc., (Respondents) Case Number: 00-03806 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Edna E. Murray ("Murray): James Eccleston and Ronald M. Amato, Esq., Eccleston & Associates, P.C., Chicag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marshall R. Cassedy, Jr. 95-00408 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION For Claimant: Thomas D. Birge, Esq. and Cathryn B. Mayers, Esq. of Birge & Mayers, P.C., Denver, CO. For Respondent: Nicholas V. Pulignano, Jr., Esq. of Marks, Gray, Conroy & Gibbs, P.A., Jacksonville, FL^ CASE I

N.A.S.D. AWARD NATIONAL ASSOTTATTON OF SFnTRTTTFS DF.AT.F.ES, INC. In the matter of the Arbitration Between ft nf r?1aimamg Merrill Lynch, Pierce, Fenner & Smith, Inc. v. NASD Arbitration No.95-00407 Name of Respondent^) Ho Shun Hui RRPRFSKNTATTON For Claimant: Thomas L. Taylor, Esq. Jones, Bell, Simpson & Abbott Los Angeles, California For Respondent: Geraidine M. Mele, Esq. Los Angeles, California CASE INFORMATION State