New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Orumal & Co. incorporated v. Anthony Chevaraz Attorneys: For ClainnnKs): Joseph A. Valto Esq. - East Hampton, NY For niJBponUoi< (8): Anthony Chavarez - Miami, FL Date Filed: 01/23/1997 First Scheduled: 07/24/1997 Deckled: 7/24/97 Case Summary: Member finn daimant alleges braach of emptoyment agraamert and nonpayment of promissory note and also seeks fiqudalad

.(ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sean Sullivan v. Legg Mason Wood Waflor. Inc. Attorneys: For Clalnnnl(s): John P. ConneH Esq. - Boston, MA For Respondenlt^: Bryan G. Killian Esq. - Boston, MA Date Filed: 01/20/1997 Rrst Sctieduled: 06/24/1997 Decided: 10/2/97 Case Summary: Registsrsdreprssentatlve daimant altoges breach of contract, wrongfullarniinallon, fraud, wrongfrul convsrston of trading prof

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Smith Barney Inc. v Jerald P. Romine Attorneys: For Claimanl(s): Mard S. Mintz Esq. - New York, NY For Respondenl(s): George Brunelle Esq. - New York, NY Date Filed: 01/08/1997 First Sctieduled: 06/26/1997 Decided: 09/19/1997 Case Summary: Claimant, a member firm, has alleged that respondent failed to repay money he was toaned and breached his agreement under a promissory no

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: Jeremy Wallace, (Claimant) vs. Kenneth Fuller, Millennium Securities Corp., and Continental Broker Dealer Corporation, (Respondents) Case Number: 01-04494 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeremy Wallace, hereinafter referred to as "Claimant": Arthur P. Fisch, Esq., a sole practitioner, New York, NY. Respondent, Kenneth Fuller ("Fuller")

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smhh Barney, Inc. vs. Davkl M. Gass Attorneys: l=br Claimanl(s): Mark J. Atonso Esq. - New Yorit, NY Fbr Respondents): Davkl M. Gass - While Plains, NY Date Filed: oi/2i/i997 First Sctieduled: 07/17/1997 Decided: 07/17/1997 Case Summary: Member Firm vs. Customer alleging breach of contrad and seeking recovery of a debit account balance resulting from margin calls

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Keith Bierman v. Maurice Acriche, Paul Becker, Robb, Peck, McCooey Financial Service Inc., and Robb, Peck McCooey Clearing Corp. Attorneys: For Claimant(s): Gary Klein Esq. - New York, NY For Respondent(s): George Brunelle Esq. - New York, NY Date Filed: 01/16/1997 First Sctieduled: O8/05/1997 Decided: December 19, 1997 Case Summary: Customer against member fir

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sharon Forman v Merrill Lynch Attorneys: For daimants): Sharon A. Fornan - Massapequa Park, NY Fbr Respondents): Ronald L. Gayle Esq. - New Yori(, NY Date Filed: 01/06/1997 First Sctieduled: 07/25/1997 Decided: 07/25/1997 Case Summary: Clalmam alleges that Respondeni failed to inform her that her social security on her account was wrong, and then failed ID her in

Sew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudemial Securidas Irworporand w. John D. Wasan Attorneys: FBrCtalmni(4: LMa A. GaSagher Esq. - Chniflo, IL For Rapondeni(i}: Michaal 3. Sorgen Esq. - Son Raneisce, CA Date Filed: oi/oenee? Rrst Scheduled: oemsnaoiT Decided: 8/6/97 Case Summaiy: Mambar firm RBspondem filed oountordaim In iha $150,000 per year. braach of financial advbor fn training agrae

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bersec international Corporatton vs. Morgan Stanley & Co., Inc. and Morgan Stanley & Co. Intematnnal Limited Attorneys: For Claimant(s): DavM R. Schachter- Briarcliff Manor, NY For Respondents): [tennis E. Glazer Esq. - New York, NY Dete Filed: 01/09/1997 First Sctieduled: O6/02/1997 Decided: 12^)5/1997 Case Summary: Non-Member (NASD Firm) vs. Member Firm alleging fra

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney, Inc. vs. Patrick A. Hannahs Attorneys: Fbr Claimants): Mark J. Alonso, Esq. - New York, NY Lauren Cohn Esq. - Cincinnati, OH Fbr Respondent(s): Patrick A. Hannahs - Cambridge, OH Date Filed: 01/O6/1997 First Sctieduled: 05/01/1997 Case Summary: The tirm alleges that the Respondent tailed to repay a promissory Product: PROMISSORY NOTE note De