N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTDES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond DeRobbio 95-04685 Name of ttesnondents Alden capital Markets, Inc. Robert limyer Alfred SaJazar REPRESENTATION For Claimant appeared Morgan Bentley, Esq. a sole practitioner of Newark, New Jersey. For Respondents Alden Capital Markets, Inc., Robert Thayer; and Alfred Salazar appeared Martin Berliner, Esq. of Ber

N.A.S.D. REGULATION AWARD , f . "ftvT/P/ % ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant rona Association of Securities Paul M. Cryder 95-04683 NameofResuondents All Righte Reserved PaineWebber , Inc. Brian Miller REPRESENTATION Claimant Paul M. Cryder ("Cryder") was represented by Daniel R. Tobin, Esq.. Tobin & Tobin, Pittsburgh, PA. Respondents Bria

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tyron W. Deygoo 95-04682 Name of Respondent Chatfieid Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1995, Claimant Tyron W. Deygoo ("Claimant"), who appeared Pro Se, alleged that Respondent Chatfieid Dean & Co., Inc. ("Chatfieid Dean"), through its employe

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name £. Cad Anderson, Jr. a/k/a Carl Anderson 9544681 Names Jonathan Alan & Company, Inc. f/k/a First Associated Financial Group, Ltd. Thomas L. DfiPetriUo Mitchel Feinglas Timothy 1. Flanagan For Claimant E. Cad Andewon, Jr. a/k/a Carl Anderson ("Anderson"): Button W. Wiand, Esq. s, Villaieal and Banker* P.A., Tampa, Florida. Jonathan Alan & Co., Inc. f/k/a

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