New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: James M. Wrede vs. Charies Schwab & Co. and Walter Bowman Attorneys: For Clainianl(s): James M. Wrada - Minneapolis. MN For ReBpondent(s): Waller Bowman - Minneapolis. MN Melissa Raphan -, Date Filed: 01/02/92 First Scheduled: oa/i8/92 Decided: 12/03/82 Case Summary: Customer vs. Member Firm and Registered Rep aiioging theft or misappropriation of customer

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: John Demerski v Dean Witter Reynolds. Inc. Attorneys: For Claimant(s): John Demerski - Bristol, CT For Respondenl(9): Edmund J. Shea Esq. - New York, NY Date Filed: 12/20/92 First Scheduled: 03/12/92 Deckled: Case Summary: customer against member firm for fadure to execute order and transfer stock; failure to deliver cash and failure to advise customer of the sta

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Paine Webber Incorporated, (Claimant) v. Michael Strasser, (Respondent) Case Number: 01-04781 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, UBS PaineWebber Incorporated, hereinafter referred to as "Claimant": Romaine L. Gardner, Esq., a sole practioner, Staten Island, NY. Respondent Michael J. Strasser, hereinafter referred to as "Respondent", Resp

New York Stock Exchange In the Matter of Arbitration Bet>veen y NYSE Case: Goldman Sachs & Company, Inc. vs. Richard Galuska Attorneys: For Claimant's): Paul Scheuerlein Esq. - Chicago, IL Fbr Ftespondent's): Richard Galuska - LaGrange, IL Date Filed: 04/11/88 First Sciieduled: 04/i2/89 Decided: Case Summary: Claimant seeks monies due from debit balance in account due to options trading on margin, alleges failue to supervise, chu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph O'Neill v. Shearson Lehman Hutton and Richard Chancis Attorneys: For Claimant's): Collen Fleming Esq. - Milwaukee, Wl For Respondent's): Theresa Obrlnger Esq. - Chicago, IL Date Filed: 12/09/89 First Scheduled: O8/15/91 Decided: 01/29/92 Case Summary: Customer against member firm and registered representative for violations of securities laws and misrepresenta

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward H. Greenberg v PaineWebber Incorporated Attorneys: For Claimant(s): Edward H. Greenberg • Pasadena. CA For nespondent(s): Judy Louie Esq. - Los Angeles, CA Date Filed: 04/01/92 First Scheduled: O8/17/92 Decided: Hn h^ Case Summary: Customer against member firm for fraud In connection with purchase of Global HealUi Sciences (GHS) Product: EQU Ma

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Tamer Johnston v Shearson Lehman Brottiers, Inc. Attorneys: For Ciaimant(s): Tamer Johnston - New York, NY Fbr Respondent(s): Paul R. Williams Esq. - Mineola, NY Date Fiied: 04/20/92 First Scheduled: 10/22/92 Decided: 10/26/92 Case Summary: Claimant, a customer, has alleged that respodnents made purchese for her in the Putinan Fund, Fund and ottier bond f

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-04800 Spencer L. Kermisch Names of Respondents Hearing Site: Boca Raton, Florida Prudential Securities, Inc. David M. Sickle Peter J. Oristian REPRESENTATION OF PARTIES For Spencer L. Kermisch, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, Plantation, Florida. For Prudential Sec

y^j 7 New York Stock Exchange In the Matter of Arbitration Between NY5 Case: James L Crawford v Oppenheimer & Co., Inc., Jack dmno and George Lambro Attorneys: For Ctaananlts): Jamas L Crawford - Helena,, MT For nospondontO): Jack Cimk» - New York,, NY Robert I. Kleinberg - New York., NY George Lambro - New York,. NY Date RIed: 04/22/92 First Scheduled: 07/17/92 Decided: 07/27/92 Case Summary: Claimant, a customer, allege

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stuart G. Dickinson v Merrill Lynch Pierce Fenner & Smith, Inc. Attorneys: For Claiinant(s): William D. Steele III Esq. - Dallas, TX Fbr Re8pondent(s): Christopher Coss Esq. - Paoli, PA Date Filed: 04/06/92 First Scheduled: 05/13/92 Decided: 05/14/92 Case Summary: Registered rep. V Member firm seeking a release from all or any liability to Respondent as a result of h