New York Stock Exchange In the Matter of Arbitration Between NYSE" Case: Joseph Fifer Trustee of the Fifer Family Trust v Prudential Securities, Inc. Attorneys: For Clalmant(s): Joseph Fifer - Laguna Hills, CA For Respondent(s): Kevin McKay Esq - New York, NY Date Filed: 09/30/gi First Scheduled: 07/08/92 Decided: July 14^ 1992 Case Summary: Claimant alleges that he was talked Into making a bad trade by respondent, after respondent made

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eugene L Mauro vs. J.A Cetontano Securities Corp. Attomeys: For Clatoiant(*): George A. Sirignano Esq. - White Plains, NY For Reapondent(»): Al Parisi Esq. - Bayskle, NY Date Filed: iOA)9/ai First Scheduled: 03/10/92 Decided: 12/10/92 Case Summary: Member vs. a divlston of a Member Rrm alleging failure to pay floor commisstons earned by and owed to Ctoknant datofiam

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Marathon Securities v Lashco, Inc. and Lance Shtolds Attorneys: i=br C>aimant(s): Joel Shapiro Esq - Chicago, IL For ReBpondent(s): James J. Moylan Esq. • Chicago, IL Date Filed: 09/i7/gi First Ccheduled: 06/24/92 Decided; Case Summary: Claimant alleges that respondent improperly stopped payment on a check made to claimant, that respondent did not provide r

New York Stock Exchange In the Matter of Arbitration Between (^^ y NYSE Case: Gton Gorman and Nancy Gorman v Merrill Lynch Pierce Fenner & Smitti Incorporated and Gtonn A Kolososki Attorneys: For Clainunt(s): Peter B Shaeffer Esq - Chtogo, IL Fbr Respondent(s): Francis C. Musselman Esq - New Yoric, NY Date Filed: 09/16/91 First Scheduled: 03/25/92 Decided: March 25, 1992 Case Summary: Claimants allege that Respondents failed to s

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael R. Offk v Prudential Securities Inc. Attorneys: For Claimant(s): Aegis J. Frumento Esq. - New York, NY Fbr Respondent(s): Joseph A. Ingrisano Esq. - Washington, DC Date Filed: 08/14/91 First Scheduled: 04/07/92 Decided: O6/23/92 Case Summary: ctoimant alleges that Respondents forced him to resign without any cause and, have refused to disburse to him previous

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Lugoff v Merrill Lynch, Pierce, Fenner & Smitti Attorneys: For Clatofnnt(s): Ftoyd N. Patterson Esq. - New York, NY Fbr Re8pondent(s): Ntohotos R. Piccininni Esq. - New York, NY Date Filed: 08/06/91 First Scheduled: 02/04/92 Decided; O6/15/92 Case Summary: Ctoimant, a customer, has alleged that tiie recommendations to purchase Upjohn and Waste Management were u

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /VUen v Mornll Lynch. Pierce Fenner & Smtfi and Manaia Attorneys: For Ctaknant(s): C. Mane Harper Esq. Detroit, Ml Fbr Respondent(s): Davki A. Dolan Esq. - New York, NY Anthony Manato - Rochester, Ml Date Filed: os/is/oi First Scheduled: /y"/?/?^/ Decided: 'A/f^ Case Summary: ctoimant, a customer, has alleged that respondents made an unauthorized purc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Harry James v Shearson Lehman Hutton, Inc. Attorneys: For ClatoKUit(s): Harry M. James - /MIentown, PA For Respondent(s): Elltot A. Kotodny Esq - Philadelphia, PA Date Filed: 08/14/91 First Scheduled: 01/16/92 Decided: 01/16/92 Case Summary: ctoimant, a customer, has alleged that Respondents failed to pay an arbitratton award in a timely manner causing him the loss o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Yuriv Zipman, (Claimant) vs. Kirlin Securities, Inc. and Mark Krauss, (Respondents) Case Number: 01-04884 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Yuriv Zipman, hereinafter referred to as "Claimant": Kenneth E. Citron, Esq., Snow Becker Krauss, P.C., New York, NY. Respondent, Kirlin Securities, Inc. ("Kirlin"); Isaac M. Zucker, Esq., General Counsel, Kirl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kyohon Ahn v Shearson Lehman Hutton, Inc. Attorneys: For ClainiiBnt(s): Kyohon /Uin - Fort Lee, NJ For Respondent(s): Willtom A. Hohauser Esq. - New York, NY Date ^ifed: O8/02/91 First Scheduled: 01/09/92 Decided: 01/09/92 Case Summary: claimant, a customer has altoged ttiat Respondent made unauttiorized purchase of Korean Fund shares. Product: OTHER Maricet