u New York Stock EsGhange In the Matter of Arlntration Between NYSE Case: Esdier F. Davis v. RobattTtiomas Securities Inc. and Raymond James & Associates Inc. Attorneys: For Clainianl(s): OIney G. Wallis Esq. - Houston, TX For Respondent(s): Linda Broocks Esq. - Houston,'TX John N. Critchlow Esq. - St. PaMtaurg, FL Date Filed: 06/29/1995 First Sctieduled: 12/06/1995 Decided: 1/29/95 Case Summary: claimant, violation of vartou

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Cathy Simonow-Jackson v. Gruntal & Company Incorporated and /\nll Jethmal Attorneys: For ClaJmanl(s): Douglas R. Lally Esq. - Jenkintown, PA For Respondent(s): Emilia M. De Meo Esq. - New York, NY Evan L. Gordon Esq. - New York, NY Date Filed: 07/11/95 First Sctieduled: 12/07/95 Decided: 12/07/95 Case Summary: claimant, a public customer, alleges failure to

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fred Kent v Shearson Lehman Brothers, Inc. v Blllto G. Shrader Attorneys: For Ctotoiant(s): Philip E. Kaplan Esq. - Little Rock, AR Fbr Respondent(s): /\letondro Schwed Esq. - New York, NY Fbr Srd Party: Marshall Ney Esq. - New Orleans, LA Date Filed: 07/07/1995 First Sctieduled: 01/10/1996 Decided: 04/i6/i996 Case Summary: Claimant altoges tfiat Respondent n

N York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stanley F. Witkowski v Smitti Barney, Inc. Attorneys: Fix-Clairnanl(s): Michael J. McAllister Esq. - New York, NY Ftor Respondent(s): Jeffrey L. Friedman Esq. - New York, NY Date Filed: 06/30/1995 First Sctieduled: 03/04/i996 Decided: 12/O6/1996 Case Summary: Ctoimant alleges that Respondent breached his compensation agreement and seeks payment of bonus money promised.

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rita and Herbert Cooper v. A.G. Edwards & Sons Inc. and Patrtoia Toolan Attorneys: Ftor Ciaiinant(s): Herbert R. Cooper anditor - Baldwin, NY For Respondents): Walter Rotti - Warren, NY Patrlcto Tooton - Warren, NJ Date Filed: 06/29/igK First Sctieduled: 11-21-95 Decided: oi/26/i996 Case Summary: Ckimant was advised by Respondent that the sell price of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. vs. Thomas Devere Attorneys: For Claimants): Gary M. Saretsky, Esq. Ftor Respondent(s): Thomas Devere - Boca Raton, FL - W. Palm Beach, FL Date Filed: 06/27/1995 First Sctieduled: 05/07/1996 Decided: Case Summary: Claimant alleges breach of emptoyment and non payment of promissory note and two ordei resulting in toss to claimant.

New York Stock Exchange In the Matter of Arbitration Between Ly NYSE Case: Kennetti Eugene Thomas and Glyn Lavon Thomas, JTWROS vs. Revels Securities Corporation, SmMi Barney and Haroto B. Hanis, III Attorneys: For Clamianl(s): Charies W. Wright Esq. - Meridton, MS Fbr Raapondanl(4: Sean J. Coughito Esq. - New Yorit, NY James K. Dukes Esq. - Hatttosburg, MS Date Filed: 06/23/1995 First Scheduled: os/oi/ieee Deckled: 09/3o/is9e Ca

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: MerriU Lynch Ptoroe Fenner & Smitti Inc. v. Kelly J. Woilal Attorneys: For CtoKntMlf)'. Mtohad Fortunato Esq. - Paoli, PA For Respondartfs): James K. Borda Esq. - Chicago, IL Date Filed: oeai/1995 First Sctieduled: 05/22/1096 Decided: ro/^J//7^^ Case Summary: Member firm against former registered representativa for breach of training ftoudary duly by secrstiy pla

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Herman E. Jaehne vs. Prudential Securities, Inc. and William Sanders Attorneys: For Clainianl(s): Alton J. Fedor Esq. - Largo, FL Fbr Respondenl(s): Jodi S. Cohen Esq. - Long Beach, CA Date Filed: 06/28/1995 First Sclieduled: 11/14/1995 Decided: 01/26/1996 Case Summary: Registered Rep vs. Member Firm (ex-emptoyer) and Branch Manager altoging retaliation for whi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fahnestock & Co.. Inc. and Track Securities Corp. v Joseph Jakubowitz Attorneys: For Clainfiant(s): Elizabeth A. Bronheim Esq. New York, NY For Respondents): Aaron M. Feinberg Esq. - Brooklyn. NY Date Filed: 06/19/1995 First Scheduled: 03/07/1996 Decided: 06/21/1996 Case Summary: Claimant alleges Respondent fraudulently entered into unauthorized trades and left a