AWARD NASD Regulation. Inc. . In the matter of the Arbitration Between Name of Claimant(s) H.J. Meyers & Co., Inc. Arbitration No. 96-01798 Name of Respondent fs) Daniel E. Wood REPRESENTATION For Claimant: Paul J. Delmore, Esq., Edwards, White & Sooy, San Diego, California For Respondent: Daniel E. Wood, La Jolla Securities Corporation, La Jolla, California CASE TNPQRMATION Statement of Claim filed: April 18, 1996 Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara L. Durham 96-01789 Name of Respondents Josephthal Lyon & Ross, Inc. Brian K. Ronoke REPRESENTATION For Claimant: Stephen D. Spivey, Esq., Ocala, FL. For Respondent Josephthal Lyon & Ross, Inc. ("Josephthal"): Robert E. Murphy, Esq., in-house counsel at Josephthal. The Respondent Brian K. Ronoke ("Ronoke") did no

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between David Wojcik Claimant, v. No. 96-01785 Olde Discount Corporation, Mark Katzman, and Russ Miller, Respondents. REPRESENTATION OF PARTIES Claimant David Wojcik ("Claimant") was represented by Laurence S. Schultz, Esq. of Driggers, Schultz & Herbst located in Troy, Michigan. Respondents Olde Discount Corporation ("Olde"), Mark S. Katzman ("

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Henry 96-01783 Name of Respondents PaineWebber, Inc. James M. Skyrm REPRESENTATION For Claimant Michael Henry ("Claimant") appeared William J. Rold, Esq. and Peggy Brady, Esq., of Silver stein Langer Lipner & Newburgh, located in New York City, New York. For Respondent PaineWebber, Inc. ("PaineWebber") an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aubrey W, Reece TTEE/Aubrey W. Reece Trs 96-01781 Name of Respondent A.S. Goldmen & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1996, claimant Aubrey W. Reece as Trustee for the Aubrey W. Reece Trust ("claimant") alleged that respondent A.S. Goldmen & Compan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Chia-Hwa "Peter" Lao Name of Respqndeiit Chinese & American Investments, Inc. Lido Securities Corp. WeaSun 96-01780 REPRESENTATION For claimant Chia-Hwa "Peter" Lao ("claimant") appeared Walter D'Ull, Esq,, a sole practitioner located in New York, New York. For respondent Chinese < fe American Investments, Inc. ("CAT) ap

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimant Yigal Buchman 96-01774 Name of Respondents Greenway Capital Corporation Joseph Guccione Fred Luthy Robert Neff Mayer Amsel John Margiotta REPRESENTATION For Claimant Yigal Buchman ("Buchman") appeared Martin Mushkin, Esq., a sole practitioner located in New York, New York. For Respondents Greenway Capital Corporation ("Greenway"), Joseph

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Charles R. and Marcia E. Fuller 96-01763 Name of Rest Merrill Lynch Pierce Fenner & Smith Inc David A. Johnson REPRESENTATION For claimants Charles R. and Marcia E. Fuller ("claimants") appeared Michael P. Pagnozzi, Esq., of the law offices of McKenna & Cuneo, LLP located in Denver, Colorado. For respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald Faeh 96-01761 Name of Respondents Dean Witter Reynolds Inc. Michael Hemming REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, FL. For Respondent Dean Witter Reynolds, Inc.fDean Witter"): Allison Bany Doneghey, Esq. , in- house counsel at Dean Witter Reynolds, Inc. For Re

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Frederick G. Uhlmann 96-01760 Name of Respondent Rodman & Renshaw Inc. REPRESENTATION For Claimant: Frederick G. Uhlmann ("Uhlmann") was represented by Lawrence C. Rubin, Esq. of Shefsky Froelich & Devine Ltd., located in Chicago, Illinois. For Respondent: Rodman & Renshaw Inc. ("Rodman") was represented by Michael J. Gaetner,