y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: city of Naples Airport Authority vs, Raymond James & Associates, Inc. Attorneys: For Claimantis}: Thomas R. Qrady Esq. - Naples, FL Scon J. Link Esq, - West Palm Beach, FL f=or Reapondent(s): Frederick S. Schrils Esq. - Tampa, FL Date Filed: 03/19/1996 First Scheduled: oo/04/i996 Decided: o9/06/igs6 Case Summary: Customer vs. .Umnher Firm alleging responden

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: [}onaM L. Galz v Raymond James & /Vssoctotes, Inc. Attorneys: For Ctanianl(s): Donato L. Gatz - Valtojo, CA Fbr Respondents): Paul L. Matecki Esq. - St. Petersburg, FL Date Filed: 03/11/1996 First Scheduled: 05/15/1996 * Decided: '^lo/^C Case Summary: Clalmam aHeges that respondeni engaged to fraud because ttiey received distributton payments for partne

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney, Inc. v Jon W. Simon Attorneys: For Clainrant(s): Woody Hong Esq. - New York, NY Fbr Respondenl(s): Jon W. Simon - New York, NY Date Filed: 02/27/1996 First Scheduled: 12/O6/1996 Decided: 12/06/1996 Case Summary: claimant alleges that when it mistakenly credited 2,767 shares of Prudential Short Term Global Fund to the respondent s account, the respon

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential SecuriinB Incorporated v Samuel J. Pieetone Attorneys: ForCtainiaMM: Mark J. Happa Esq. New York. NY For RoqiondBMV^: Samuel J. PIcdone - Hllon Hoed Island, SC Dale Filed: 03/18/1996 First Scheduled: oa/so/igss Deckied: ii/isng96 Case Summary: Oalmant allages that Respondent failed to repay a ban, pursuant to a promissory note. Owl was due upon t

< ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Martin M. Gevers Attorneys: For Claimanl(s): Erto M. Berman Esq. - MIneoto, NY Fk)r Respondent(s): Martin M. Gevers - Mount Laurel, NJ Date Filed: 03/13/1996 First Scheduled: 07/I8/1996 Decided: 07/18/1996 Case Summary: Member Firm vs. Customer seeking to recover damages resulting from Respondent's tender of a check, returned t>y ttie bank b

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Mtohael DelCervo Attorneys: For Claimanl(s): i'ferk Happe, Esq. - New York, NY Fbr Respondent(s): Mtohael Detoervo - Miami, FL Date Filed: 04A)I/1996 First Scheduled: 12/19/1996 Decided: 12/17/96 Case Summary: Member Firm claimant aUeges breach of employment agreement, nonpayment of promissory notes and respondent's misco

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donato Nichols and Joyce Ntohols v. Dean Witter Reynotos Inc. Attorneys: FVir Claimant(s): Donald C. Ntohols - Arlington, TX Fbr RBspondent(s): Elton Fong Esq. - San Francisco, CA Date Filed: 03/11/1996 First Scheduled: 06/20/1996 Decided: 7-1-1996 Case Summary: ctoimants aHege that the respondent, m retaliatton for a prtor artNtratton deciston In favor of ttie C

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Harold T. Brundige vs. Quick & Reilly, Inc. Attorneys: For Clain»nt(s): Harold T. Brundige Esq. - Martin, TN Fbr Respondent(s): John P. Lakey Esq. - Memphis, TN Date Filed: 03/04/1996 First Scheduled: 07/11/1996 Decided: 12/05/1996 Case Summary: customer vs. Member Firm alleging failure to foltow Claimant's insfructtons to sell 1,050 shares of Netscope Technology sto

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bryce M. BirdsaN v. Lehman Brottiers and Fklelity Invesbnents Attorneys: f=or OakmrUa): Bryce BirdsaH - New York. NY For Respondents): Thomas E. Hommel Esq. - New York, NY Suzanne R. Mtohaud Esq. - Boston, MA Date Filed: 02/05/1996 First Scheduled: 04/26/1996 DeckJed: 05/17/1996 Case Summary: Claimant, a puUto customer, aHegesthat Respondents, member firms, faile

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04155 William Gregory Barker Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. JohnB. Mackie Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Gregory Barker, hereinafter referred to as "Claimant": Arthur L. Stern, III, Esq., Tallahassee,