N.A R.n. AWAPT^ NATTONAT. A.SSOCTATTON OP .SPCTTPTTm.t! nwAT TOfi rwr In the matter of the Arbitration Between Name, nf Claimant Malladi Sudhakar Reddy Pension Flan and Trust V- NASD Arfjitration No. 94-03622 Name of BeigpnnHftnt^ Harry Bindra and Josqphthal Lyon & Ross, Inc. wir.ppir,< ;irMTATfmv For Claimant: Malladi S. Reddy, In Pit) Per Bakersfield, California For Respondent: Josephthai Lyon & Ross, Inc. New Yoric, New Yoric CX

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cohig & Associates, Inc. 94-03383 Name of Re^nden^ Mehrdad Zenhari CASE STJMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1994, Claimant Cohig & Associates, Inc., through its representative and in-house counsel, David H. Drennen, Esq., Englewood, CO., alleged that Respondent Mehrdad Zenhari, failed to r

NASD Dispute Resolution Arbitration No. 01-06428 Award Page 1 of 8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Twenty- First Securities Corporation, (Claimant) vs. Ira E. Greenberg, (Respondent) vs. Robert N. Gordon, and Peter D. Koffler, (Third-Party Respondents) Case Number: 01-06428 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Twenty-First Securities Corporation, hereinafter referred to as "

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Torkan Maham 94-03299 Name of Respondent^ Jack Richard Mason Chemical Investment Services Corp. REPRESENTATION For Claimant Torkan Maham O^ereinafter referred to as "Claimant") appeared Walter D'Ull, Esq.. New York City, New York. For Respondents Jack Richard Mason and Chemical Investment Services Corp. (hereinafter collectiv

JfiN.28.1999 ll!23flM NO.081 P.0/14 N.A.S.D. REGULATION, INC. STIPULATED AWARD NASD Regulation, Inc., 0£Boe of Dispute Reaolntion In the Matter of the AibittatiOQ Between " Name of aaimant Janet L. Pacjikowski 9403282 Names of Rflgpondeqt^ Batfon Chase Securides, Inc. Robert T. Kirk, Jr. AlanR. Edwardt Carl W. AUen Mark R. Desott [•ACTON For Claimant! Qlfford J. Hunt, Esq, and John R. Kiefoer. Jr., Esq., Rlden. Bade & TSidtasr, P.A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Jerome Rothman and Edna Rothman 94-03842 Name of Respondent's^ Merrill Lynch Pierce Fenner & Smith Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20,1994, Claimants Jerome Rothman-and Edna Rothman, who appeared Pro Se, aUeged that Respondent Merrill Lynch, Pierce, Fenn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald P. Williams & Shelley D. Williams 94-03798 Name of Respondent^ Dean Witter Reynolds Inc. Charles H. Simonson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 16,1994, Claimants Donald P. and Shelley D. Williams, who appeared Pro Se, alleged that Respondents Dean Witt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Litman 94-04272 Name of Respondents Prudential Securities Inc Stephen H. Gitter For Claimant Michael Litman ("Claimant"): Robert A. Giacovas of Lazare Potter & Giacovas, New York, NY. For Respondent Prudential Securities, Inc. ("PSI") and Respondent Stephen H. Gitter ("Gitter"): Christopher Freeze, Assistant General

N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Zimmerman 94-04217 Name of Respondents Alex D. Shindman Moshe Rimson CASESTIMMARV In a (jiaim filed with the National Association of Securities Dealers, Inc. on October 5, 1994, Claunant Michael Zimmerman, who appeared Pro Se, alleged that in November 1993 he received a cold call from Respondent Alex D. Shindman ("Shi

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Marvin and Dorothy Frankel, individually and as Trustees of the Frankel Family Trust Name of Respondents J.B. Oxford & Company, J.B. Oxford Holdings, Inc., Reynolds Kendrick Stratton, Inc., RKS Financial Group, Inc., Ruth Sutherland, William Michael Reynolds, Robert Kendrick, William R. Stratton NASD Regu