New York Stock Exchange In the Matter of Arbitration Between y NYSI Case: Piper Jaffray, Inc. v Keith P. Burke Attorneys: For Clainiant(s): Wayne S. Moskowitz Esq. - Minneapolis, MN For Respondent(s): Wendy A. Snyder Esq. - Minneapolis, MN Date Filed: 03/15/93 First Scheduled: 03/31/93 Case Summary: claimant, a member firm, alleges respondent, a registered representative, violating a 90-day non-compete provision comained therein.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anne Carter-Hamilton v. John M. Dirom and Davenport & Company of Virginia, Inc. Attorneys: For Claimant(s): Robert L. Flax Esq. - Richmond, VA For Re8pondent(8): Lonnie 6. Nunley, III Esq. - Richmond, VA Date Filed: 03/01/93 First Scheduled: 08/27/93 Decided: 11/01/93 Case Summary: Claimant alleges that Respondents recommended unsuitable securities, breach of contrac

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Donald Peer, III, (Respondent) Case Number: 01-04691 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Cranford, NJ. Previously represented by: Michael S. Colombo, President/CEO, StreetWide Asset Recovery Group, Inc., N

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Roger 0. Gaddls v Edward D. Jones & Co. and Bryan Roark Attorneys: For ClaJiinnl(s): Rodney J. Heggy Esq. - Oklahoma City, OK For Re8pondenl(s): J.W. Coyle III Esq. - Oklahoma City, OK Date Filed: 03/O8/93 First Scheduled: 10/05/93 Decided: 10/25/93 Case Summary: Registered representetlve alleges Respondents defamed his reputetnn by telling customers that Claimant wa

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v Douglas C. Witten Attorneys: For Claimant(s): Steve Gomberg Esq. - Chicago, IL For Respondents): Walter L. Baumgardner Esq. - St. Clair Shores, Ml Date Filed: 03/08/93 First Scheduled: 09/04/93 Decided: 12/15/94 Case Summary: Claimant alleges that Respondent breached his toan agreement and seeks indemnificatmn for losses allegedly resulti

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New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Samuel p. Chkxto v. Quick & ReiHy Inc. Attorneys: For Clainnnt(s): Samuel P. Chkxio - Northport, NY For Reepondent(8): Joe Carso Esq. - New York. NY Date Filed: 03/O8/93 First Scheduled: 06/04/93 Decided: 06/O8/93 Case Summary: Claimant alleges that Respondent purchased more shares than were authorized. Claimant further alleges that Respondent, without authorizat

New York Stock Exch^e In the Matter of Arbitiration Between Case: Prudenial Securities inc, v Norbert Wiggiw NYSE Attorneys: ' FarCiaanant(s$: SM4eRGanibBrsEsq.-Chicaso, IL i FM* RBip«vieni(t): ! Norfaert Wiggins - Oes Plaines, IL | DateRled:03wi/93 Rrst Sctieduied: CI/2(VB4 Decided ided: ^\^o[^ Case Summary: Mernber firm altosjes that recisMred reprasentaiiv* defaultae in repaymwit of a proinistory note alter his UmiratioR from

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gordon T. Schaul v PaineWebber. Inc. Attorneys: For Clainiani(s): Gordon T. Schaul - Oklahoma City, OK For Retpondani(s): Joseph F. Generetli Esq. - Weehawken,, NJ Date Filed: 02/24/93 First Scheduled: 06/23/93 Decided: 07/26/93 Case Summary: customer alleges that he purchased stock based on misintomntion provided by Member Firm. Customer also alleges that the firm

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mark Wood v. Shearson Lehman Brothers and Manrin Kbenig Attorneys: For Claimant^): Steven R. GoUberg Esq. - Brooklyn, NY For Retpondenits): John P. Bevllacqua Esq. - New York, NY Date Filed: 02/05/93 First Scheduled: oa/io/ea Decided: 08/10/93 Case Summary: claimant alleges that Respondent Koenig executed an unauthorized sale of stock. Product: EQU Market