..:-''-'?s|" .•••,Xi.."..»-.-, -.v." New York Stock Exchange In the Matter of Arbitration Between • .••k^'jAi •- .• ••*-.•• • NYSE Case: John C. and Constance Peterson vs. Okie Discount Corporation Attorneys: For Clalmant(s): William M. Rishol Esq. - Winter Park, FL For Respondent(s): Howarel M. Klausmeier Esq. - Detroit, Ml Date Filed: 04/i 1/1997 First Sctieduled: 08/07/1997 Decided: 11/20/1997 Case Summary: Customers v

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gmntal & Co.. LLC. v. David Rajpatty Attorneys: For Claimants): Davki W. SchmkJt Esq. - Kenllwoith, NJ For Respondent(s): DavM Rajpatty - W. Hempstead, NY Date Filed: 04/09/1997 First Sctieduled: 09/17/1997 Dedded: 11/26/1997 Case Summary: Member finn seeks to recover fti3m registered representative: (1) The balance owed undera promissory note and; separate amoun

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph llluzzi v. Charies Schwab Attorneys: For Claimant(s): liesaph llluzei - Buffalo, NY For Respondent(s): Gregory M. Scanlon Esq. - San Francisco, CA Date Filed: 03/26/1997 First Sctieduled: 08/12/1997 Decided: 09/24/1997 Case Summary: claimant alleges the firm liquidated his account without consent. Claimant alleges the firm refused to honor a verbal agrement

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nancy Prehler Tirrell v. Pacific Brokerage Services, Inc. Attorneys: For Clannant(s): Nancy P. Tirrel - Hawthorn Woods, IL For Respondent(s); James R. Kurger Esq. - Los Angeles, CA Date Filed: 03/10/1997 First Sctieduled: claims she never requested or authorized. Product: EQU 05/28/1997 Decided: 6/18/97 1 attributed to her account due to a sale of Wal

xiew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Gruntal & Co. Incorporatedv. George Yao Attomeys: For Claimant(s): Ronakl Shindler Esq. - Miami, FL For Respondents): George Yao- Ft. Laudeniale, FL Date Filed: 04/09/1997 First Sclieduled: 11/04/1997 Decided: 12/18/97 Case Summary: Memberfirm claimant alleges breachof employment agreementand nonpaymentof promissory note and seeks Iquidated damages and dra

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Inconioratedv. Michael Strnad Attorneys: For Clalmant(s): James L. Komie Esq. - Chicago, IL For Respondent(s): Michael Strnad - BrookfieM, IL Date Filed: 03/19/1997 First Sctieduled: 11/18/1997 Decided: 12/3/1997 Case Summary: Member firm sues registered representative seeking repayment of the balance of a promissory note signed by registered fOr the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company incorporatedv. Christopher RlchanJson Attorneys: For CIalmant(s): Michael Braunstein Esq. - New York, NY For Respondents): Christopher Richardson - New York, NY Date Filed: 04/07/1997 First Sctieduled: 09/23/1997 Decided: 12/17/1997 Case Summary: Claimant, a memberfirm, alleges respondent, a registered representatlveandfonneremployee, breached the t

ly New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co., Inc. v Kevin Graetz Attorneys: For Claurant(s): Joseph A. Valk) Esq. - New York, NY Fbr Respondenl(s): Kevin Graetz - New York, NY Date Filed: 03/27/1997 First Sctieduled: 10/07/1997 Case Sumnfiary: claimant alleges that Respondent failed to repay a $20,000 loan and $25,000 a promissory note and employment agreement, respectively, upon the termi

New York iitock Exchange In the Matter of Arbitration Between y NYSE Case: Gmntal & Co. lr«i»DoraMdv, WBtam Semilas Attomeys: For Ctalmanl(a)- Josepn A. VsUo Esq. - Nsw Yoik. NY For RMpan(taiil(9): Joseph F. Keenan, Esq. - Garden City, N.Y. Date Filed: oa/19/1997 First Sctieduled: O8/IQ/1997 Dscided: 12/12/97 Case Summary: Manberfirm dainant altooes brsacti of empinymMit ae'*«>iwntand nonpaymentof prombaory note, liquidaM damaiim «nd

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Baird Patrick & Company v. Abraham Cohen Attorneys: For Clalniant(s): Jeffrey P. Rynn Esq. - Newark, NJ For Respondenl(s): Kenneth KIrschenbaum Esq. - Garden City, NY Date Filed: 03/20/1997 First Sctieduled: 07/23/1997 Decided: 07/25/1997 Case Summary: Member firm versus Claimant for $28,034.72, representing the debit l»lanoe in Claimant's account whnh occurred