New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Charles Lynn v Smith Barney Harris Upham & Co.. Inc. Attorneys: For Clainiant(s): Charles E. Lynn - Salem, VA For Respondent(s): Linda R. /Upert Esq. - New York, NY Date Filed: 03/26/92 First Sciieduled: O6/15/92 Decided: 06/15/92 Case Summary: claimant, a customer, has alleged that respondent gave him a bad recommendation with respect to a puchase of Polaroid

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David B. Vanyo vs. Rauscher Pierce Refsnes, inc. and Anthony Parisi Attorneys: For Claimant(s): Patricia J. Finley Esq. - Phoenix, AZ Fbr Respondent(s): Joel P. Hoxie Esq. - Phoenix, AZ Date Filed: 03/31/92 First Scheduled: 09/22/92 Decided: 00/22/92 Case Summary: Customer vs. Member Firm and Registered Rep alleging breach of contrad, breach of fiducary duty and an u

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ronald E. Pruitt v Charles Schwab, Inc. Attorneys: Fbr Clainiant(s): Ron Pruitt - Kileen, TX For Respondent(s): Joseph L. /Vldridge - San Francisco, CA Date Filed: 03/07/92 First Scheduled: O6/18/92 Decided: Case Summary: Customer v Member Firm alleging respondent failed to execute a sale of 500 shars of Southeast Banking Corp. Claimatn alleges that respond

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: W.J. Nolan & Company, Inc. v Florence Rubin Attorneys: Fbr Clainunt(s): hfayward Richard Pressman Esq. - New York, NY For Respondent(s): Florence Rubin - Brooklyn, NY Date Filed: 02/20/92 First Scheduled: 09/09/92 Decided: 09/09/92 Case Summary: Claimant, a member firm, has alleged that the respondent failed to pay for a debit balance in her account resulting from th

DENNIS C AS AGRANflDE, an individual; and MARIE CAS AGRAHDE, an individual, Claimants, Case NO.-Q-1-04978 GLOBAL CAPITAL MARKETS. LLC, a subsidiary of Global Capital Partners, Inc., GLOBAL CAPITAL, SECURITIES CORPORATION, a Colorado corporation; STIPULATED AWARD STEPHEN SCHOEEMAN, an individual,' and JONATHAN SIEGEL, 'an individual, Respondents. • WHEREAS, Claimants Dennis Casagrande and Marie Casagrande (collectively the "Claimants 1

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George Balboa v Prudential Securities Incorporated, Michael Saraco and Janet Clark Attorneys: For Claimant(s): Ronald F. Esposito Esq. - Elizabeth, NJ For Respondent(s): Marc Dubin Esq. - New York, NY Date Filed: 03/02/92 First Scheduled: 07/28/92 Decided: 12/28/92 Case Summary: Customer against member firm and non-members for alleged fraud and misrepresentation rega

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Dan Moskowitz vs. York Securities Attorneys: Fbr Clainrant(s): Dan Moskowitz - Armonk, NY Fbr Respondent(s): Thomas J. McCabe Esq. - New York, NY Date Filed: 03/13/92 First Scheduled: 06/17/92 Decided: 06/29/92 Case Summary: Customer vs. Member Rrm. in dispute involving OEX optnns, alleging an unauthorized sell out of Claimant's positnn. Product: OPT Market

c r c r New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anthony 4 '??bc:.'>h i''br»Bon v. Dean Witter Reynokls Attorneys: For Clainnrt(s): Anthony & Deborah Johnson - Bethel Park. PA Fbr Respondentia): Edmund J. Shea Esq. - New York, NY Date Filed: 03/11/92 First Scheduled: 10/21/92 Decided: 10/21/92 Case Summary: claimant alleges respondent failed to supervise and train their broker (an emptoyee of respon

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Alan Greenfield v Shearson Lehman Brothers. Peter Guerrlero, Craig Statler and Gregory Skier Attorneys: For Clainunt(s): Bruce A. Singal Esq. - Boston, MA Fbr Respondent(s): Michael J. Eisele Esq. - Boston, MA Date Filed: 02/20/92 First Scheduled: 08/11/92 Decidedll/^/92 Case Summary: Customer against memt)er firm and registered representatives for alleged breach of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: JOIM Wlrtman v. Prudantial Bache SecutWas, Ino. Attorneys: ForOwittnilP): JohnWarlmaii-Walibu.CA ror npiponcMiiisj- KaNin McKay Esq. - Mew York. NY Date Filed; 02fl»«2 First Scheduled: 06/i2/te Decided: os/is/ss Case SummarV: customer aOeflN Member PInti Improperly cradhtd hit aocount writti stedc and then cold off his leaittmate hoWhgs to pay far ttw mli^rediMrf