AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Lloyd H. Thomas Miriam Stumpf Thomas and Name of Respondent Paine Webber, Inc. Case Number: 95-01681 REPRESENTATION OF PARTIES Claimants Lloyd H. Thomas and Miriam Stumpf Thomas ("Claimants") were represented by James E. Stovall, Esq. of Metallic, Louisiana. Respondent Paine Webber, Inc. ("Respondent") was represented b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Betty G. Price Family Trust Betty G. Price Case No. 95-01680 Name of Respondents A.G. Edwards & Sons, Inc. Jeffery L. Curtin REPRESENTATION For Claimants, Betty G. Price and Betty G. Price Family Trust ("Price"); Norman Meyers, Esq. of Meyers & Bierkan, P.A., of Sun City Center, Florida. For Respondents, A.G. Edwards &

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kim Feddick, and Mesa Produce, Inc. /Pension Plan & Trust, Claimants, v. Consolidated No.s 95-01677 95-01675 Norcross Securities Inc., and Stuart O. Bates, Respondents. REPRESENTATION OF PARTIES Kim Feddick ("Feddick"), Mesa Produce, Inc. ("MPI"), and Mesa Produce Brokers Inc. Profit Sharing Plan & Trust ("MPBI") (collectively referre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Heinz Schairer 95-01673 Name of Respondents Smith Barney Harris Upham & Co., [nc. Scott L. Kleiner REPRESENTATION Claimant Heinz Schairer ("Schairer") appeared pro se. For Respondents Smith Barney, Inc. ("Smith Barney") and Scott Kleiner ("Kleiner"), Ann Parry, Esq. of Smith Barney, located in New York, New York, CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name, of Claimant Lawrence A. DeMaio 95-01671 Name of Respondents Investors Associates Inc. David J. Britton REPRESENTATION For Claimant Lawrence A. DeMaio ("Claimant"): Susan N. Perkins, Attorney at Law, New York, New York For Respondent Investors Associates Inc- ("Investors Associates"): Lawrence R. Gelber, Esq. of the law firm of Bei

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James Calcagnini 95-01669 Name of Respondent Fidelity Investments Institutional Srves REPRESENTATION For Claimant James Calcagnini ("claimant") appeared John P. Cione, Esq. located in Solana Beach, CA. For Respondent Fidelity Investments ("respondent") appeared John Jenkins, Esq. of the firm Shanley & Fisher, located in New York, New Y

NASD Arbitration No. 95-01664 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fs) Dain Bosworth Incorporated Name of Respondent fs) Francis D. Balfour Deep River Holdings, Ltd. REPRESENTATION For Claimant : Catherine A. Gnatek, Esq. , Dorsey & Whitney, Minneapolis , Minnesota For Respondents: Nq Appearance By Respondents CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ihe Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. 95-01663 Name of Respondent Jaffer Ead CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 3, 1995, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), through its representative, A. Michael Ferrill, Esq,, of Cox & Smith

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Margaret Cruz, (Claimant) vs. Drake & Company, Inc., Millennium Securities Corp., and Brandon Negron, (Respondents) Case Number: 00-04669 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Margaret Cruz, hereinafter referred to as "Claimant": Marcel Weisman, Esq., Law Offices of Marcel Weisman, New York, NY. Respondent, Drake & Company, Inc. ("Drake"), di

1 N.A.SJD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Village Building Service, Inc. Oscar Willingham 95-01657 Name of Respondents Biltmore Securities, Inc. Craig Kulman REPRESENTATION For claimants Village Building Services, Inc., ("VBS") and Oscar Willingham ("Willingham' 1 ) appeared William K. Flynn, Esq. of Strauss & Troy located in Cincinnati, Ohio. Fo