New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Antotaoa D. tee, as TnaloB tor Paiar O L«e Defined Benefit Pensnn Plan v SmUi Banwy Shearson and Raymond Fiaupal Altomeys: FarCtaimaniW: Aritwr A Hogg Esq. - Claytor^ MO Rir RatDondsntfat: Seen J. Coughlin Esq. - New Vorit, NY Raymond Faupef - Clayton. MO Date RIed: 08fOi/M First Sdieduled: 08/oi/9S Deokled: 08A)i/95 Case Summary: ctoimant. a customer, has altoga

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smtth Barney Inc. v Valerie S. Coto Attorneys: For Claimant's): Marcto S. Mintz Esq. New York, NY For Respondent's): Valerie S. Coto - Sacramento. CA Valerto S. Coto - Forth Wortti. TX Date Filed: 07/29/94 First Sctieduled: OSA)2/95 Decided: 10-11-95 Case Summary: Member Firm V Registered Representative for alleged failure to repay promissory note upo

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: John A. Casazza v Smtth Barney Shearson Attorneys: For Clainiant(s): John A. Casazza - Springfiekl. VA Fbr Respondenfs): Ai\r\ Parry Esq. - New York, NY Date Filed: 07/22/94 First Sctieduled: 2/IC/S' Decided: VI5/9; Case Summary: claimant alleges account statements for IRA contain errors and omissions and seeks compensation for tosses. Claim amended /\u

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gruntal & Company, Inc. vs. Joseph Safina Attorneys: For Clainianfs): Douglas Jaffe Esq. - New York, NY For Respondert's): Evan L. Gordon Esq. - New York, NY Date Filed: 07/28/94 First Sctieduled: 12/16/94 Decided: 06/02/95 Case Summary: Claimant alleges that respondent breached their loan agreement, which was a part of their employment conb'ad. Claimant further allege

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonard Heinz v Smtth Barney Shearson Attorneys: For Claimant(s): Leonard Heinz - Bayport, NY Fbr Respondent's): Ellen Slipp Esq. - New York, NY Date Filed: 07/12/94 Case Summary: Claimant First Scheduled: 02/28/95 Decided: 07/11/95 alleges Respondent gave him bad investment advise and advised him to make investinents ttiat were unsuttable. Produc

New York Stock Exchange In the Matter of Arbitration Between i/ NYSE Case: GerakI Cohn v Olde Discount Corporation Attorneys:. For Clalmant(s): Gerakl Cohn 0.0. - Juptter, FL For RespondenKs): Ina N. Otto Esq. - Detrott, Ml Date Filed: 07/05/94 First Sctieduled: 4-1- Case Summary: Claimant alleges that Responrinnt made the bonds, but are trying to collect for loss and commissions. Product: -95 Decided: an unauttio

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mauzkle Ervin v. Bear Stearns & Co., inc. and Gregory Livingston Attorneys: For Clainwnt(s): Vincent R. Jones Esq. - Chicago, IL For itespondent(s): Nidiolas P. lavarone. Esq. - Chk»go, IL Date Filed: 07/19/94 First Sctieduled: 07/18/95 Decided: f^ob-r^ Case Summary: aaimant alleges that Respondents misled him about the rate of return and the risk of certain stoc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04530 Joseph Stevens & Company Inc., Claimant vs. Guy Durand, Respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo of Streetwide Asset Recovery Group, Inc. Respondent did not respond to the Statement of Claim. DATE FILED: August 24, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the amount owed for training and registration costs according to his Reg

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Smtth Barney Shearson v Madison Onondaga Corp., Samuel G. Nappi and Carol Nappi Attorneys:., For Claimant's): Jacqueline Carr Esq. - New York, NY Fbr Respondent's): Samuel Nappi - F^ayetteville, NY Date Filed: 07/18«4 Case Summary: Claimant, depostted into the account. a member firm. First Sctieduled: 03/02/95 has alleged ttiat respondent failed to

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Kemper Securittes Inc. v. Roben W. Baird & Co. incorporated, John Mabee, Gregory Abbott. Lynn Santa. Jay Goklstein. Davkl Mabee. Thomas Stanley and Jamas Stowell, William Allen and Vntor Rashki v. Cari Williams. Jr. Attorneys: For Clainwia(s): Christopher J Barber Esq. - Chk»go, IL Fbr Respondent's): Davkl Lucey Esq. - Milwaukee, Wl Date Fiied: 07/O8/94 First Sctie