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

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