New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rk;hard Levey v Roney & Co. and Robert Sieber Attorneys: For Clainnnt(s): Randolph M. Wright Esq. - Birmingham, Ml For Respondents): Raymond W. Henney Esq. - Detroit, Ml Laurence S. Schultz Esq. - Troy, Ml Date Filed: 09/21/93 First Sctieduied: 04/27/94 Decided: 06/30/94 Case Summary: claimant alleges breach of fiduciary duty in making a recommendation whksh was

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Roboit W. Lemon: DenniB G. Pappati. MivMialy and M Tnislee of the Donnii 6. Poppas M.O. P.C. Empknyee Pnifft Sharing flaieareent Trust: Pairlcia M. Pappas; Dennis Pappas. Jr.. IndhriduaUy and as curtodian for Ooniiii Pappas III; Manhew Pappas; Andrea Pappas Cappa; KaroU 8. Efiglar; DarraH J. Helmen a* TfUtlM oi the ttebnwi Family Tnal; Rjchord S. Vandoihoo!, MhiMiMlly and as Trusiaa of ih

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sheril A. Montgomery and 01-04716 Nashville, Tennessee Names of Respondents First Union Securities, Inc. n/k/a Wachovia Securities, Inc. and First Clearing Corporation Nature of the Dispute: Customer vs. Member Firms REPRESENTATION OF PARTIES Sheril A. Montgomery, hereinafter referred to as ("Claimant"), was represented by Charles Patrick Flynn, E

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney Shearson, Inc. vs. Esther Braun Attorneys: For Claimant(s): James S. Kenton Esq. - New York, NY Fbr Respondent(s): Esther Braun - Brooklyn, NY Date Filed: 09/24/93 First Scheduled: 03/21/94 Decided: 03/21/94 Case Summary: claimant (member firm) alleges that Respondent (customer) has a debit balance in the amount of $33,281.36 resulting from checks re

l^^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Margit Steinschaden v Prudential Securities, Inc., Joseph Blumenthal and Steven Stil Attorneys: For Claimant(s): Margit Steinschaden - West Dover, VT For Respondent(s): Donna Ross Daniels Esq. - New York, NY Date Filed: 09/15/93 First Scheduled: 04/20/94 Decided: 06/28/94 Case Summary: claimant, a public customer, alleges respondents, a member firm and regist

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gennady & Margarita Ruchaevsky v Smith Barney, Harris, Upham & Co., Inc. Attorneys: For Claimant(s): ""' ~ Gennady Ruchaevsky - West Long Branch, NJ Fbr Respondent(s): Linda R. Alport Esq. - New York, NY Date Filed: 08/31/93 First Scheduled: Decided: 1/4/94 Case Summary: Claimant, a customer, has alleged that respondent misrepresented the quality of investments in He

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Smith Barney Shearson Inc. v. Helen Marcus & David P. Gerstenblatt Attorneys: For Claimant(8): Christopher P. Litterio Esq. - Boston. MA For Respondent(s): Stephen F. Gordon Esq. - Boston. MA Date Filed: 09/07/93 First Scheduled: 03/10/94 Decided: 03/10/94 Case Summary: Member Firm V. Customer - claimant alleges respondents wrongfully liquidated account containing 400 duplicate

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: McLaughlin Piven Vogel, Inc. vs. Jay Greaney Attorneys: For Claimant(8): Michael Fortunate Esq. - Paoli, PA Fbr RespondentCs): Jay Greaney - Hoboken, NJ Date Filed: 08/19/93 First Scheduled: 02A)4/9S Decided: 10/12/94 Case Summary: Member Firm vs. Registered Rep (ex-empk)yee) alleging respondent breached on emptoyment agreement and failure to repay tra

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: James J. Mack vs. Jay B. Schiff Attorneys: For Claitrant(s): George Brunelle Esq. - New York, NY For Respondent(s): Howard Spierer Esq. - New York, NY Date Filed: 09/07/93 First Scheduled: 12/13/93 Decided: 12/14/93 Case Summary: Former member vs. member In a dispute arising from a membership lease agreement and alleging Respondent reneged on the renewal of that

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: McLaughlin Piven Vogel, Inc. vs. Will Master Attorneys: For Claimant(s): Michael J. Fortunate Esq. - Paoli, PA For Respondent(s): Will Master - New York. NY Date Filed: 08/19/93 First Scheduled: 02/11/94 Decided: 05/23/94 Case Summary: Member Firm vs. Registered Rep (ex-employee) alleging breach of employment agreement and promissory note and seeking recovery of