N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between M;^^ft {ft qi^in^^n^ Jack Rosemarin 94-04894 N^my yf Respondents M. Rimson & Co.,Inc. Alex Shindman REPRESENTATION For claimant Jack Rosemarin ("claunant") appeared Matthew J. Brief, Esq. of Brief Kesselman & Knapp, New York, New York. Respondents M. Rimson & Co., Inc. ("Runson") and Alex Shindman ("Shindman") did not appear at the hear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Mitchell J. Katz Lawrence Austin 94-04892 Name of Respondent Adams Cohen Securities, Inc. REPRESENTA'nON For Claimant Mitchell J. Katz ("Katz") and Claunant Lawrence Austm ("Austin") (collectively referred to as "Claimants") appeared David B. Wechsler, Esq. of the law firm of Wechsler & Burskey, LLP located in New York, New York. For Respondent Adams Cohen Securi

N.A.S«P. AWARP NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the A.--bitration Between Name of Claimant(s) Drew M. Brooks, Trustee of the Drew M. Brooks Living Trust Name of Respondent(a^ Cohig & Associates, Inc. NASD Arbitration No. 94-04888 RgPRESBMTATION For Claimant: Phillip E. Egger, Esq., Bellevue, Washington For Respondent: Russell K. Bean, Esq., Cohig & Associates, Inc., Englewood, Colorado CASE INFORM

N.A.S.D. DECISION NATTONAT. ASSOCIATTON OF SECURITIES DEALERS. INC. In the maner of the Arbitration Between Name of Claimant^sl Suresh T. Dalai Bharci S. Dalai V. Name of RespQndcnt(s) Power Securities Corporation RAF Financial Corporation Russell C. Burk, Esq., RAF Financial Corporation, Denver, Colorado CASE INFORMATION Statement of Claim filed: November 18,1994 Claimants' Subnussion Agreement signed: April 29,1995 Resp

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maurice S. Mayes 94-04881 Name of Re.«inondent Lew Lieberbaum & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18, .1994, Claimant, Maurice S. Mayes ("Mayes"), who appeared Pro Se, alleged that Respondent, Lew Lieberbaum & Co., Inc. ("Lew Lieberbaum") through its agent

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nam? of Clamant Seymour M. Sabesin, M.D. and 94-04981 Name of Respondent Waterhouse Securities, Inc. REPRESENTATION OF PARTIES Seymour M. Sabesin, M.D. ("Claimant") was represented by Sheldon Zeiger, Esq., Chicago, Illinois.. • . . ; , . • . . . Waterhouse Securities, Inc. ("Respondent") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of tiie Aibitiation Between Mam«»nfriaimant/s^ Amar and Chandrika Savla 94-04980 Fidelity Brokerage Services, Inc. REPRESENTATION For Claimants, Amar K. Savla and Chandrika A. Savla ("tiie Savlas'): Amar K. Savhi and Chandrika A. Savla ("pro se") For Respondent, Fidelity Brolrerage Services, Inc. ("Fidelity"): Angela M. Gottsche, Esq. of Kutak Rock in Atlanta, GA. CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between William T. Barclay " 94-04880 Name of l^esDondent .Steven M. Wisniewski Roy Rubin (Bankruptcy) Hibbard Brown & Co., Inc. (Bankruptcy) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18, 1994, claimant William T. Barclay ("claimant"), who appeared Pro Se, alleged that respondents Roy Rubin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gwen Marlow and Crystal Nemeth, Claimants v. Prudential Securities, Inc. and Steve Donelan, Respondents Case Number: 01-04330 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: John A. Bender, Jr., Esq. Seattle, Washington For Respondents: Charles LaChaussee, Esq. Prudential Securities, Inc. San Francisco, California CASE INFORMATION State

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 94-04878 Name of Respondent William T. Bradley REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Otto K. Hilbert, Esq., LeBoeuf, Lamb, Qreene & MacRae, Denver, Colorado. William T. Bradley ("Respondent") appeared pro se. Mr. Bradley participated in the hearing telephonipally