Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Zarrilli, (Claimant) vs. Signator Investors, Inc. and John Hancock Financial Services, Inc., (Respondents) Case Number: 01-04632 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, James Zarrilli, hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Sean M. Lipsky, Esq., Nowell Amoroso Klein Bierman, P.A., Hackensack, NJ. Resp

New York Stock Exchange In the Matter of Arbitration Between ty NYSE Case: David D. Diamond v. Fidelity Brokerage Sennces, Inc. Attorneys: For Claimam(s): David D. Diamond - New York, NY Fbr Respondem(s): Carol S. Hobbs, Esq. - Boston, MA Date Filed: 06/14/93 First Sctieduled: 01/31/94 Decided: 01/31/94 Case Summary: customer v. Member Firm - Claimam alleges that Respondem's umimely handling of Claimam's call to cancel a seil order w

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carl L Freson v Legg Mason Wood Walker Inc. Attorneys: For Claimam(s) Carl L Freson - Arlington, VA For Respondem(s): John R Gilner Esq - Baltimore. MD Date Filed: 05,'07/93 First Sctieduled: 04/15/94 Decided: 04/15/94 Case Summary: Claimant, a public customer, alleges mismanagemem and unjust enrichment against respondem, a member firm. Claimam seeks rficovery of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: R. J. Deierlein v. Merrill Lynch Pierce Fenner & Smith Incorporated Attorneys: For Cieinwni(s): Robert J. Deierlein - White Plains, NY Fbr Re8pondent(8): Michael E. OIney Esq. - New York, NY Date Filed: 05/20/93 First Sctieduled: 01/31/94 Decided: 03/01/94 Case Summary: customer v. Member Firm - claimant alleges that respondem has failed to adequately manage his 2 Ke

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gruntal & Co. Incorporated v. Carl Grimstad Attorneys: For Claimant(a): Richard I. Janvey Esq. - New Yori(, NY For Raapondent(s): Cari Grimstad - Boston, MA Date Filed: 06/08/93 First Scheduied: 09/30/93 Decided: 05/05/94 Case Summary: Member Firm v. Non-member - claimant alleges breach of employment agreement and non-payment of two promissory notes, and responsibility for a

.Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grumal & Company vs. John Andreadis Attorneys: For ClaJmam(8): Eric S. Hutner Esq. - New York. NY For Respondent(s): Stanley N. Kutcher - New York, NY Date Filed: O6/O8/93 First Sctieduled: 10/25/93 Decided: 05/03/94 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due for a promissory note balance, liquidated d

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Walter William Glass III and Susan J. Glass vs. Memll Lynch Pierce Fenner & Smith Attorneys: For Claimanl(s): WiHiam W. Glass - Campus Christi, TX For Re8pondent(s): Charles L Henderson Esq. - IMew Yori(, NY Date Filed: 06A)7/93 First Scheduled: 02/22/94 Decided: 02/14/94 Case Summary: Customer vs. Member Firm alleging deceptton, misrepresentations and unsuitab

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edythe Gross and Melvin Gross V Shearson Lehman Brothers and Stephen L e f f Attorneys: For OaimapUt): Edythe & Melvin Gross - Tamarac, FL For Reapondent(t): John P. Bevilacqua Esq. - New York, NY Date Filed: 06/01/93 First Scheduled: Case Su.mmary: Claimants allege Respo.idems recommandsd an u Product: P-SHIP 06/27/94 Decided: 07/11/94 in

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: FSC securities Corporation v Mark A. Morris v FSC Corporation, Financial Sen/ice Corporatnn, Edward J. Wisner, Thomas W. Hutchins and Barry F. Kane Attorneys: For Clainiam(s): Jeff Ross Esq. - Minneapolis, MN For Respondem(s): Patrk:k J. Neaton Esq. - Wayzata, MN Date Filed: 05/07/93 First Sctieduled: 11/11/93 Oecided: 3 y?r Case Summary: Claimam allege

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: A. Mark Berlin v Kidder, Peabody & Co. Incorporated Attorneys: For Claimam(s): Lloyd S. Clareman - New York, NY For Respondem(s): Thomas A. Dubbs Esq. - New York, NY Decided: 51//§W Date Filed: 05/10/93 First Scheduled: 11/09/93 Case Summary: claimant, a registered represemalive and former employee of respondem, alleges respondem failed to compensate him in accor