^A Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: George Clifford White and Augusta White, individually and as husband and wife; and George Clifford White, as trustee of the George C. White Trust U/A/D March 30, 1993, Claimants v. Salomon Smith Barney Inc., a corporation; Donna S. White, as Personal Representative of the Estate of Peter C. White; Peter Colin White, Jr., an individual; and Donna S. White, Peter Colin White,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants E M R G MEDICAL GROUP, INC AND DR. ROYCE BROUGH and Names of Respondents D.E. WINE INVESTMENTS, INC., AND RANDALL BATTEN Case No. 96-02301 REPRESENTATION For Claimants: E M R G Medical Group, Inc. and Dr. Royce Brough Danny McKay, CEO of E M R G Medical Group, Inc.,located in DeKalb, Mississippi For Respondents: D.E. Wine Investments, Inc. and

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: EMRG Medical Group, Inc. and Royce Brough, MD, (Claimants) vs. PCM Securities, LTD. and Michael Hiier, (Respondents). Case Number: 96-02300 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, EMRG Medical Group, Inc. ("EMRG") and Royce Brough, MD ("Brough"), hereinafter collectively referred to as "Claimants": Charles D. Powell, Esq., Brown, Parker & Leahy, Houston,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 96-02289 Name of Claimant Kerning Gong Name of Respondents E*Trade Securities, Inc. Herzog, Heine, Geduld Inc. Name of Cross claim Claimant Herzog, Heine, Geduid Inc. Name of Cross claim Responden^ « E*Trade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 29, 1996,

NASD REGULATION AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-02287 Name of Respondent Michael Salerno REPRESENTATION For Claimant Dean Witter Reynolds Inc. ("claimant") appeared Mark S. Manch?r, Esq. of Jackson, Lewis, Schnitzler & Krupman located in Woodbury, New York. For Respondent Michael Salerno ("respondent") appeared Charles J. Soos, Esq. a sole practioner located

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Roland R. Ghazal v. Arbitration No. 96-02286 Name of Respondent Prudential Insurance Company of America REPRESENTATION For Claimants: Michael J. Collins, Esq. Collins & Manes Irvine, California For Respondents: Kenwood C. Youmans, Esq. Seyfarth, Shaw, Fairweather & Geraldson Los Angeles, California CASE INFO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Husa 96-02276 Name of Respondents Capitol Bay Securities, Inc. Stephen C. Kircher Lisa McGarcar CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1996 Claimant Michael A. Husa ("Claimant"), who appeared Pro Se, alleged that Respondent? Capitol Bay Securities ("

_PLIG. 18.1998 9 = 30Af1 NflSD REGULRTION FL _ .NO.990 P.9 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Brands Rose 96-02274 Names of Respondents Lehwald Orosey & Pepe, Inc. LOP Capital Markets, Inc. Henry W. Lehwald, John Orosey, and Gerard J. Pepe REPRESENTATION For Claimant: Jack R. Elliott, Esq. of Broad & Cassel, Orlando, Florida. For all Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Okie Discount Corporation 96-02265 Name of Respondent Geri B. Dickinson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1996, Claimant Olde Discount Corporation ("Claimant") through its representative and in-house counsel, Robert S. Anderson, Esq., maintained that on or about F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen & Anita Taub 96-02259 Name of Respondents Southwest Securities, Inc. Nationwide Securities Corp. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on May 28, 1996, claimants Stephen and Anita Taub ("claimants") through their representative and counsel Robert J. Brockm