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

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