New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Advest Inc. v. Robert O. Speer Attorneys: For ClainBnt(s): Barry J. Kronemer Esq. - Hartford, CT Fbr Respondent(s): Matthew Dunn Esq. - Braintree, MA Date Filed: 02/04/1997 First Sctieduled: 06/24/1997 Decided: 6/24/97 Case Summary: Member firm claimant alleges nonpayment of promissory note and breach of employment agreement and seeks reimbursement for a debit ba

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company Incorporatedv. Joseph Dteco Attorneys: For Cteiniant(s): David W. Schmidt Esq. - Kenilworth, NJ For Re3pondent(s): Paul Chemis Esq. - New York, NY Date Filed: 02/10/1997 First Sctieduled: 09/30/1997 Decided: 11/05/1997 Case Summary: Claimant a member finm. alleges respondent, a registered representative and fomier employee, breached the tenns of an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of John S. Minton v. Martin D. Levine Hearing Site: New York, New York Case Number: 01-04496 REPRESENTATION OF PARTIES Claimant, The Estate of John S. Minton, hereinafter referred to as "Claimant": Matthew C. Rueter, Esq., Matthew C. Rueter, P.C., New York, NY, previously represented by Jonathan J. Fink of the firm Bangser Klein Rocca & Blum, LLP. Respondent, Martin D

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Prudential Securilies Inoorporatad v James Rhodes Attorneys: For ClainHnl(s): Arthur Baumgartner Esq. - New York, NY Fbr Respondent(s): James Rhodes - Syosset, NY Date Filed: 02/13/1997 First Sctieduled: 08/18/1997 Decided: 08/I8/1997 Case Summary: Cteimant alleges that Respondent faited to repay a toan whtoh became due, pursuant to a promissory note, upon the termination of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Caroline S. Stanziale v Prudenlial Securities Attorneys: For Clainnnt(s): . Caroline S. Stanziale - Convent Station, NJ Fbr Re6pondent(s): Davto D. Hartung Esq. - New York, NY Date Filed: 02/06/1997 First Sctieduled: Decided: 05/D8/1997 Case Summary: Cteimant alteges that Respondent purchased unsuitabte securities for her account, misted her regarding the true nature

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Bamey Inc. v Bobt>y Houston Attorneys: For Claiinanl(s): Davto B. Klafler Esq. - Naw York, NY For Respondenl(s): Bobby Houston - Fuquay-Vamia, NC Date Filed: 01/31/1997 First Sctieduled: 07/28/1997 Decided: 07/28/1997 Case Summary: Claimant alleges thai It errored in depositing proceeds of a sate into Respondent's accounl and seeks rejmbursement of the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Clara Fitzgerald v Daniel M Gierek. Thomas G. Bongiorno and Gruntal & Co. Attorneys: For Claimant(s): John D. Hudson Esq. - Des Moines. IO Fbr Respondent(s). Harry D. Fris:h Esq. - New York. NY Dantoi M. Gierek - New York, NY Date Filed: 02,06/1997 First Sctieduled: osos 1997 Decided: 08/20/1997 Case Summary: claimant, a customer, has alleged thnt respondent onga

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. TTwmas Crema Attomeys: For Ctainnni(s): Paler von Maur Esq. - New York, NY For Respondentfs): Mark J. Knjdys Esq. - Rtohmond, VA Date RIed: 01/27/1997 Rrst Sctieduled: 05/D8/1997 Decided: 12/22/97 Case Summary: Member firm daimant alleges breach of emptoyment agraemant and nonpayment of promissory note. Respondent fitod c

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Smltti Bamey, Inc. v. Sandra Fbdi Attorneys: For Claimants): Michael Braunstein Esq.-New Yo£k, NY For Respondenl(s): Sandra Fbdi - Sun City, FL Date Filed: 01/27/1997 First Scheduied: O8/19/1997 Decided: 08/19/1997 Case Summary: Member firm daimant altoges retention of insurance premium oomniisston. Product: other Market: Claim Data Award Data Claim: $1.0,744

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ann spina Sperling v Dean Witter Reynolds Attorneys: For Claimant(s): Ann Spina Sperling - Cliffside Park. NJ For Respondont(5): Paul G. Thomas Esq. - Now York. NY Date Filed: 01.291997 Case Summary: Claimant. a cuslomor. has First Sctieduled: allogod that rospondont made an Product: EQU Decided: 04.29/1997 unauthorized purchase of Pixar stock.