New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Howard C. Caslon v. Lipton. Caslon & Co. Inc. and Morton Lipton Attorneys: For Clainianl(s): Mtohael P. Kaeito Esq. - New York. NY For Respofidenl(s): Brian H. Reis Esq. - New York, NY Date Filed: io/oi/i996 First Scheduled: 04/21/1997 Decided: 04/29/1997 Case Summary: Claimant, a sharetiokier and former emptoyee, alleges that the preskient and majority sharehokier o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of thf *"1aimflnts p^gf* Kf^iYi^ 1 " 01-04113 Raymond Patschke and Jan Patschke Nam? of thf Ff fipnnHgn-fta pfpa-Hng ftjte* Houston s Texas Gruntal & Co., L.L.C., GMS Group, L.L.C And Michael Scotty ttTT.PqF.CT.TVT ,4 Tin^y Of Claimants Raymond Patschke and Jan Patschke, hereinafter referred to as "Claimants": James K. McClendon, Esq. Hilgers & Watkins, l

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael A. Brownlee, M.D., (Claimant) vs. Marc Keller, Schroder & Company., Incorporated, and Sanfrey Securities, Inc., (Respondents) Case Number: 00-01278 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Michael A. Brownlee, M.D. ("Brownlee"), hereinafter referred to as "Claimant": David Ellenhoro, Esq., Solomon, Zauderer, Ellenhorn, Frischer & Sharp, New York, N

^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder Peabody & Company Inc. v. George D. /\ppleby Attorneys: For ClainMml(s): John H. Jamnback Esq. - Washington, DC For Respondent(s): George D. Appleby - Deephaven, MN Date Filed: 09/23/1996 First Scheduled: 04/1S/1997 Decided: 05/29/1997 Case Summary: claimant, a member firm, alleges respondent, a registered representative and former emptoyee, breached the

New York Stock Exchange In the Matter of Arbitration Between Ly. ]>fYSE Case: HaroM Jacobson v. Merrill Lynch Pierce Fenner & Smith, Inc. Attorneys: Ft>r Claimant(s): Haroki Jacobson - Dallas, TX Fbr Re8pondeni(8): James S. Gross isa,. - New York, NY Date Filed: 09/19/1996 First Scheduled: 12/10/1996 Decided: 1-14-1997 Case Summary: claimant alleges tfie firm sold him shares in the Merrill Lynch Technok>gy Fund Class D and that t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carol Terrell v. Dean Witter Reynokls Inc. and Davkl Gardner Attorneys: For ClabnanKs): C. Patrick Meece Esq. - Bryan, TX For Respondents): James Jordan Esq. - Dallas, TX Stefani I. Silverberg Esq. - Dallas, TX Date Filed: 09/19/1996 First Scheduled: 04A)8/1997 Decided: ,'1-14-1997 Case Summary: claimant alleges Ifie respondents engaged in discriminatory prac

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: John D. Smith, Jr. v. Lehman Brothers Inc., Karen Muller, Maxine L. Gerson and Karen C. Manson Attorneys: For Clainiant(s): John D. Smith Jr. - New Yorit, NY For Respondent(s): Susan R. Kohn Esq. - New York, NY Kevin LaBlang Esq. - New Yorii, NY Date Filed: 09/30/i996 Case Summary: Claimant, First Scheduled: 03/11/1997 Decided: 10/28/1997 a former emplo

New York Stock Exchange In fhe Matter of Arbitration Between NYSE CaM: Prinalpai Rnaneial SeouriUM, inc. v. Bwfava Johnwn Atbmays: ForCmmMd): Mai ^L^^mtn. Eiq. - CNoaao, IL For nHpQnBml(i}> Bwtawa Jotmnn - Chjeago, IL Data Filed: oa/ao/igee Rrst Scheduled: osoo/ioer Case Summary: Mwnber finn against former wflitfet^dnpreMnlrtlw for balance due on a Product: PROMISSORY NOTE Decided: i proiniHory nols. Market: 6/4/1997

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Daniel Balestra Attorneys: For Clainnnl(s): David W. Schmklt Esq. - Kenilworth, NJ For Fiaspondent(s}: Dan A. Druz Esq. - Rivervale, NJ Date Filed: 10/01/1996 First Scheduled: 02/21/1997 Decided: 10/20/1997 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due under the terms of two promissory no

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. Kim B. Peters Attorneys: For Clalrnam(s): Patrick L. Hynes Esq. - Naw Yori(, NY For Respondent(s): KIm B. Peters - Boca Raton, FL Date Filed: 09/19/1996 First Scheduled: 04/16/1997 Decided: 4/16/97 Case Summary: Member firm claimant alleges breach of employment agreement and nonpayment of promissory note. Product: PROMI