N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Cecil E. and Jane T. Bartholomew 95-01656 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Mathew Fitzgerald REPRESENTATION For Claimants Cecil E. and Jane T. Bartholomew ("claimants") appeared Ward W. Westerberg, Esq. of the law firm Johnson, Peterson, Tener & Anderson located in Jamestown, New York. For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul G. Michael 95-01653 Name of Respondent L. C. Wegard & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4,1995, Claimant, Paul G. Michael, who appeared Pro Se, alleged that Respondent, L. C. Wegard & Co., Inc., made misrepresentations and sold him unsuitable securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant Edmund A. Sokol 95-01650 Name of Respondents Bear Stearns & Co., Inc. Marshal] G. Wolbers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Claimant Edmund A. Sokol ("Claimant"), who appeared Pro Se, alleged that Respondent Bear Stearns & Co., IDC. ("BSC") and Marshall

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Angelo Zenez ' ' 95-01645 Name of Respondent Dickinson & Co. REPRESENTATION For Claimant: Angelo Zenez ("Zenez") was represented by Jeffrey W. Finke, Esq. of Raleigh, Helms & Finke, located in Chicago, Illinois. For Respondent: Dickinson & Co. ("Dickinson") was represented by Barbara Bennett, Esq. of Dickinson & Co., locate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Zaslow for Tillie E. Zaslow 95-01644 Name of Respondents Drake Capital Securities, Inc. Frank J. Niezgoda CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Claimant David Zaslow, ("Claimant") under a power of attorney for Tillie Zaslow ("T. Zaslow"} and who appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold L. and Dorothy S. Baliard 95-0 i 639 Name of Respondents Dean Witter Reynolds Inc. Michael Kazacos CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Claimants Harold L. and Dorothy S. Baliard, who appeared Pro Se, alleged that Respondents Dean Witter Reynol

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nation River Holdings, Ltd, Claimants NASD Arbitration v. No. 95-01638 Terence L. Ross A.G. Edwards & Sons, Inc. Respondents REPRESENTATION OF PARTIES Nation River Holdings, Ltd. ("Claimant") was represented by John Hallis. Terence L. Ross and A.G. Edwards & Sons, Inc. ("Respondents") was represented by Michael D. Gates, Esq., A.G. Edward

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred Lecker 95-01637 Name of Respondents Gene Todd Scoville Walker Cartwrignt and Walker Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995 Claimant Fred Lecker ("Claimant"), who appeared Pro Se, alleged that he held an account with Respondent Cartwright a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bertrand and Yvette Baron 95-01636 Name of Respondents McLaughlin, Piven, Vogel Securities, Inc. Steven D. Ircha Peter J. Hopkins CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Claimants Bertrand and Yvette Baron ("Claimants 11 ), through their representati

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04668 Allan J. Ristori, claimant vs. Salomon Grey Financial Corp. and Edward Becker, respondents ATTORNEYS: Claimant appeared Pro Se, Manasquan Park, NJ. For Respondent Salomon Grey Financial Corp. appeared William B. Federman, Esq., of the firm Dreier Baritz & Federman, Oklahoma City, OK. Respondent Edward Becker appeared Pro Se, Greenlawn, NY. DATE FILED: August 22, 2000 CASE