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,

^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