New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers Inc. v. Brett Schechter Attorneys: For Clainnnl(s): Bradtoy M. Whalen Esq. - Houston, TX Fbr ftespondenl(s): Brett Schechter - Santa Ctera, CA Brett Schechter - Del Rey Beach, FL Date Filed: 09/25/1995 First Scheduled: 05/09/1996 Decided: 7/29/1996 Case Summary: Claimant, a member firm, alleges respondent, a registered representetive and

Mew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Josephthal Lyon & Ross v Mark Russel Sherman Attorneys: For Ctainiam(s): Robert Murphy Esq. - New York, NY For Respondent(s): Neal J. Hunwitz - New York, NY Date Filed: 10/04/1995 First Scheduled: 04/30/i996 Decided: 05/29/1996 Case Summary: Claimant, a member firm, has alleged that respondent failed to repay money that he was loaned under a promissory note. Clai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph L. Romanauskas v Edward Mazoyer and PaineWebber Inc. Attorneys: For Claimanl(s): Joseph L. Romanauskas - Commack, NY Joseph L. Romanauskas - Kingdom of Saudi Arabto, For Respondents): Joel M. Leifer Esq. - New York, NY Date Filed: 09/13/1995 First Scheduled: 05/22/1996 Decided: 07/23/1996 Case Summary: Ctoimam, a customer, has altoged ttial respondents eng

V New York Stock Exchange In the Matter of Arbitration Between NYSE Case: SmUh Barney Inc. v Robert M. Kelly Attorneys: For Ctoimant(s): Judith C. Greene Esq. - New York, NY Fbr Respondent(s): Robert M. Kelly - Ponle Vedra, FL Robert M. KeHy - Darien, CT Date Filed: 09/19/1995 First Scheduled: 05/09/1995 Decided: 06/27/1996 Case Summary: Claimant, a member firm, has alleged that respondent failed to repay the money toaned In conn

*few York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carol A. RkMIe and Jeremtoh R. Rtodto v Josephttial Lyon & Ross Inc. and Michael IMonow Attorneys: F^ Clainianl(s): Carol & Jeremiah Riddle - North Satom, NY Fbr Respondenl(s): Evan D. Jay Esq. - New York, NY Date Filed: 10/19/1995 First Scheduled: 04/ii/i996 Decided: 04/11/1996 Case Summary: claimant, a customer, has alleged that unsultebto recommendattons were mad

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Josephthal Lyon & Ross Inc. v Joseph Jerry /Utotta Attorneys: For ClainiBnt(s): Robert Murpliy Esq. - New York, W Fbr Respondanl(s): William Ryder Esq. - New York, NY Date Filed: 10/11/1995 First Scheduled: woAiA^m Deckied: : 09/06/1996 Case Summary: Ctoimam, a member firm, has altoged that respondent faitod to re-pay money ttiat ha was toaned under a C

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brothers Inc. v Sean Daly Attorneys: For Ctoinianl(s): Thomas E. Hommel Esq. - New York, NY For Ftospondenl(s): John W. Cobb Esq. - Tuxedo, NY Date Filed: 10/09/1995 First Scheduled: 04/17/1996 Decided: 06/26/i996 Case Summary: claimant alleges Ihat respondent failed to repay a loan with interest and a deficit in the amount of a draw against commisstons. R

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Men Harden vs. Quick & Reilly, Inc. Attorneys: For Claimant(s): Men Harden - Orlando, FL Fbr Respondenl(s): Nicholas J. Chopey Zi% - Ne.v ^n;-; M" Date Filed: 10/16/1995 First Scheduled: oz'22/i996 Decided: 02/23/1996 Case Summary: customer vs. Member Firm alleging failure to follow instructions to execute an options order and uneven application of a firm policy

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Prudential Securittos Incorporated v James Brian Collins Attorneys: For Claimantfs): Gary M. Saretsky, Esq. - W. Palm Beadi, FL For Respondent(s): James Brton Collins - West Palm Beach, FL Date Filed: 10/09/1995 First Scheduled: os/os/isge Decided: 9/11/96 Case Summary: Claimant extended a $37,129.50 loan to Respondent in exchange for a promissory note. As a r

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Oruntal & Company vs. Joseph P. Carpenter and Dale Lyttis Attorneys: For Ctoimant{s): Joseph Pash Esq. - New York, NY For l^espondentCs): Joseph P. Carpenter - Ft. Lauderdale, FL Dale Lynle - R. Lauderdale, FL Date Filed: 10/11/1995 First Scheduled: 06/25/i896 Decided: oe/zs/isoe Case Summary: Member Firm vs. customers alleging fraud in respondents' passing off of co