^SSS£^'^''^''^^^'''''''^-^'^'z^i-'*'^^?^^j!!'':.'^'' " '.: New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dennis Schechter v Sheerson Lehman Brothers, Inc.; Robinson-Humphrey & Co., Inc. and Kevin O'Dowd Attorneys: For Claintanfs): Thomas C. Newman Esq. - Portland, MA William D. Robitzek Esq. - Lewiston, ME For Respondent's): Scotl Henderson Esq. - Boston, MA Date Filed: 03/17/89 First Sciieduled: 04/19/90 De

ieyv York Stocit Exchange In the Matter of Arbitration Between y NYSE Case: Lucille R. Joy v Merrill Lynch, Pierce, Fenner & Smith, Inc., Davki S. Han and Frank J. Phillips, Jr. Attorneys: For dainKUifs): Norman T. Reynolds - Houston, TX Fbr Respondent's): Kathy D. Patrick Esq. - Houston, TX Date Filed: 12/16/92 First Sciieduled: O6/16/93 Decided: O^/a^/93 Case Summary: claimant, a customer, alleges respondents, e member firm and

New' York afcOOK BKgliailBW - In the Mat;t:er of Arbltrat.lon Between Case: Prudential Securities Inc. v, Jlaay E. Groene Attorneys: For ClaiaanUa): Steven P. Gonberg Esq. - Chicago, IL For Iteflpondantia}: Jiony E. Grsene - Saginaw, HI Date Filed: 12/21/92 First Scheduled: 06/30/93 Decided: 06/30/93 Case Suaeary: Claiaant allegea that Iteapondent failed to repay a loan uhich uae due, purauant to a loan agreeaant, upon Respondent's terai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eleanor Tortora v. Merrill Lynch Pierce Fenner & Smith and Ralph DeSalvo Attorneys: For dainianfs): Nk:holas lavarone Esq. - Chk»go, IL For Respondent's): J. Michael RIordan Esq. - Morristown, NJ ^li|< H3 Date Filed: 12/18/92 First Sciieduled: 05/17/93 Decided: 1 Case Summary: claimant, a registered representative and former employee of respondent member firm, all

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Prudential Securities Inc. v. Don Buttram Attorneys: For Claimanfs): Steven M. Malina Esq. - Chicago, IL For Respondent's): Don Buttram - Indianapolis, IN Date Filed: 12/14/92 First Sctieduied: 10/05/93 Decided: 12/14/93 Case Summary: Member firm against former registered representative for balance due on a promissory note—$103,801.95. Product: Market: ' a Claim Data

V/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard J. Borto v. Prudential Securities Inc. and Steven Golber Attorneys: For Claimant's): Richard Borto - Frankfort. IL For Respondent's): Peter Byer Esq. - New York. NY Date Filed: 12/04/92 First Sciieduled: 05/20/93 Decided: WM 21, 1113 Case Summary: Customer against member firm and registered representative for mismanaging account and failure

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Ernest 0 Maresca v Scott & Strlngfellow Investment Corp. and Frands M. Hall Attorneys: For Claimant(s): Ernest Maresca - Punta Gorda, FL For Respondent's): Jonathan R Tuttle Esq. - Washington, DC Date Filed: 10/22/92 First Sctieduied: 03/31/93 Decided: April 7, 1993 Case Summary: Claimant alleges misrepresentation regarding the recommended purchase of Advan

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John A. DeValk v David Charloff Attorneys: For Claimant(s): John A. DeValk - Liverpool, NY For Respondent's): Kathryn N. Roettger Esq. - Florham Park, NJ Date Filed: 12/09/92 First Sciieduled: 04/02/93 Decided: 04/12/93 Case Summary: customer against registered representative for alleged misrepresentatnn regarding the purchese of MS Strategic Land Fund II in clai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lynnelle Jones v Muriel Siebert & Co. Inc. & Muriel Siebert Attorneys: For Clainuuit(s): Eric V Flam Esq. - New York, NY Fbr Respondent(s): Philip J. Hoblin, Jr. Esq. - New York, NY Date Filed: 11/23/02 First Scheduled: 5/13/93 Decided: 11/16/93 Case Summary: claimant, a former employee, has alleged that she was terminated in breach of her contract and in violation o

(.... Ne V York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael Baghael v. Pacific Brokerage Sen/Ices Attorneys: For Ciaimant(s): Michael Baghael - Newport Beach. CA Fbr Respondent(s): James R. Kruger •Esqr- Los Angeles, CA Date Filed: 11/24/92 First Sciieduled: 07/15/93 Decided: August 25, 1993 Case Summary: Customer against member firm for alleged failure to execute 00 shares of CBS and lost profits P