New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Eamon Murphy v Fidelity Investments Attorneys: For Clalmant(s): Eamon Murphy - Thousand Oaks. CA For Respondent(s): Kenneth J. McDonald, Esq. - Boston, MA Date Filed: 01/22/92 First Scheduled: Decided Case Summary: customer against Member Firm for alleged failure to notify costomer of negative Pan Am i accepting a trade from the Claimant whii:h resulted in a ki

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Case Number 01-04787 Danny Isminger Danny Isminger ERA Names of the Respondents Hearing Site- Pittsburgh , PA Ryan R. Riley UBS Paine Webber, Inc. n/k/a UBS Financial Services, Inc. RFPRFSFNTATTON OF PARTTKS Claimants, Danny Isminger and Danny Isminger IRA, hereinafter collectively referred to as "Claimants", were represented by Robert M. Kramer, Esq

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Subhash Kakkar v. PaineWebber, Inc. Attorneys: Fbr Claimant(s): Thomas T. Truax Esq. - Lynn, MA Fbr Re8pondent(s): Elyse A. Adrian Esq. - Weehawken, NJ Date Filed: 01/13/92 First Scheduled: 07/08/92 Decided: 7/8/92 Case Summary: C v MF for alleged failure to follow customer's stop order instructions. Product: EQU Market: NASD Claim Data Claim: $13,882

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Richard & Julia Earls v Gruntal & Co. Attorneys: Fbr ClaHnEmt(s): Richard & Julia Earb - Rossford, OH Fbr Respondent(8): Erk: S. Hutner Esq. - New York, NY Date Filed: 12/I6/91 First Scheduled: Sfzri^i Decided: 05/20/92 Case Summary: claimants allege Respondent firm failed to timely deliver a stock certificate in response to ttieir request. Product: EQU Marke

New Vork Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen P. Holand v. Merril Lynch Ufe Agency, Inc., Wiliam E. Gray and Richard Lanpher Attorneys: FbrC(aiiiiMt(B): John Bullis Esq. - Wahpeton, NO For Raipondonl(»V William E. Gray - Nstv York, NY Charles F. Khapp, Esq. - Minneaporn, MN Richard Lanpher - New York. NY Date Filed: 01/10/92 First Scheduled: 08/19/92 Dedded: IOA>8A2 Case Summary: insurance Br

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Edward E. Kbdy v Prudential Bache Securities, Inc. and Stuart Greenburg Attorneys: For Claimant(«): Edward E. Kody - Walled Lake, Ml For Respondenl(s): Steven Shine Esq. - New York, NY Date Filed: 11/04/91 First Scheduled Case Summary: claimant alleges that Respondent refused to give Product: 07/01/92 Claimant a Decided: 07/24/92 copy of the stop tran

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Prudential Securities vs. Thomas Kibler Attorneys: For Clainniit(s): Peter Byer Esq. - New Yori(, NY Fbr Respondent(8): Thomas Kibler - Circle Pines, MN Date Filed: 01/O8/92 First Sciieduled: 08/20/92 Decided: 08/20/92 Case Summary: Member Rrm vs. Registered Rep (ex-empk)yee) seeking to recover a promissory note balance allegedly due (plus interest costs an

^'ew York Stock Exchange AA the Matter of Arbitration Between NYSE Case: Duncan G. Burke v Dean Witter Reynolds, Inc. Attorneys: For Clainiant(s): Loretta A. Preska Esq. - New York, NY Fbr Respondent(s): George Sullivan Esq. - New York, NY Date Filed: 01/09/92 First Sctieduied: 04/29/92 Decided: 05/14/92 Case Summary: Registered Representative against Member Firm for alleged failure to deliver 2,500 shares of Sears stock and failure to h

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George Stojak v William Boland; Shearson Lehman Hutton: Kidder. Peabody & Co.. Inc. Attorneys: For Claimart(s): JiH Nagy Esq. - Troy. NY For Re8pondent(s): Keith J. Kasper Esq. - Burlington., VA Rnhard Kelly Esq. - New York. NY Date Filed: i2/2e/9i First Scheduled: O6/02/92 Decided: 09/01/92 Case Summary: Customer against two Member Rrms end Registered Repr

New York Stock Exclnange In the Matter of Arbitration Between NYSE Case: Bonnie B. HcClure v Dean Uitter Reynolds, Inc. Attorneys', For ClaiiantCs): Bonnie B. IteCiure - Atlanta, G A For RespondentCs): Paul J. Stivers Esq. - Atlanta, G A Date Filed: 11/20/91 First Scheduled: 0B/1B/3Z Decided: 06/16/3Z Case Sumnary: Clainant alleges that Respondent purchased unsuitable bonds for her account and made misrepresentions, not