N.A.S.D. REGULATION AWARD NATIONAL. ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Trudy King 96-02330 Name of Respondent National City Investments Corp. REPRESENTATION Claimant Trudy King ("Claimant") appeared pro se. For Respondent National City Investments Corp. ("Respondent") appeared Harry John Watson, III, Esq., in-house counsel for National City Investments Corporation, located i

701 NASD REGULATION, INC., DISPUTE RESOLUTION ARBITRATION AWARD In the Matter of the Arbitration Between DEAN WITTER REYNOLDS INC, Claimant, Case No. 96-02329 -and- AWARD ALLEN SEALS, Respondent. For Claimant: Dean Witter Reynolds Inc. was represented by Diane C. Fischer, Esq. of Gamberg Kane & Fischer, Ltd., 208 South LaSaJle Street, Suite 1800, Chicago, Illinois 6Q6Q4, For Respondent: Dr. Allen Beats appeared Pro Se. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Curtis Eugene and Ann Elaine Spencer 96-02327 Mama of Respondent Black & Company CASE SUMMARY Tn a case filed with the National Association of Securities Dealers, Inc. on May 31, 1996, claimants Curtis Eugene and Ann Elaine Spencer ("claimants"), who appeared Pro Se, alleged that respondent Black . & Company {"respondent") mad

NASD REGULATION. INC., AWARD OF DISPUTE RESOLUTION In. the Matter of the Arbitration Between Name of Claimant Horizon Securities, Inc. 96-02319 Name of Respondents Peter J. De Angel is William R. Madden Harvey B. Merkin REPRESENTATION For Claimant Horizon Securities ("Horizon"), appeared Aaron Karp, Esq., of the law firm, Karp and Sommers, located in New York City, New York. For Respondent Peter J. De Angelis ("De Angelis"), appeared

NASD Regulation, Inc. Award OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Francesco Rappa Rosa Rappa Vincenzo Rappa 96-02318 Name yf Respondents Marsh Block & Co., Inc. John Averyt For Claimants Francesco, Rosa, and Vincenzo Rappa ("Claimants") appeared Nicholas D. Thomas, Esq., of Raleigh, North Carolina. For Respondents Marsh Block & Co.( M MBC"), and John Averyt (" Averyt 11

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James P. Martin as representative for Heartland Partners 96-02317 Name of Respondents Rodman & Renshaw Inc. John Daniel Hansen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 30, il 1996; Claimant James P. Martin as representative for Heartland Partners ("Claimant"), wh

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Show-Mean Wu a/k/a Steve Wu v. Arbitration No. 96-02313 Name of Respondents) Scott B. Forman Andrew S. Friedman Daniel Porush Howard S. Gelfand Irving Stitsky Steven P. Sanders For Claimant: REPRESENTATION Shirli Fabbri Weiss, Esq. Gray Gary Ware & Freidenrich San Diego, California For Resp

NASD REGULATION, INC. AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants James A. Shab Global Telecommunications Corporation v. Arbitration No. 96-02312 Name of Respondents H.J. Meyers & Co., Inc. (now known as Meyers Securities Corporation) Joseph G. Gerace REPRESENTATION For Claimants: Brad Knypstra, Esq. Brian Ostler, Sr., Esq. Briggs & Alexander Anaheim, Ca

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) William John Herter Arbitration No. 96-02311 Name of Respondent(s) Brian Kim Josephthal Lyon & Ross Incorporated REPRESENTATION For Claimant: William John Herter, Foster City, California For Respondents: Brian J. Neville, Esq., Josephthal Lyon & Ross Incorporated, New York, New York CASE INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald E. and Marjory P. Pillar June Chechile Raymond G. and Emma S. Homburg 96-02307 Name of Respondent Gallon & Associates, Inc. REPRESENTATION For Claimants, June Chechile ("Chechile 11 ), Raymond J. Homburg and Emma S. Hombuig ("Homburg"), and Donald E. Pillar and Marjory P. Pillar ("Pillar"): Joel A. Goodman,