New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles M. Lewis v Smith Barney Shearson Attorneys: For Clainnnl(s): Theodore G. Eppenstein Esq. New York. NY Fbr Respondenl(s): Barry H. Berke Esq. - New York. NY Date Filed: 03/02/1994 First Scheduled: 08/i6-i994 Decided: 08/29/1997 Case Summary: Registered Representative v Member Firm. Claimant alleges respondent conspired to falsify documents in an NASD proce

V York Stock Exchange In the Matter of Arbitration Between NYSE Case: MaryAnn Shea v. Shearson L^man Brothers Inc. and Michael Appelbaum Attorneys: For Clainianl(s): John H. Norton Esq. - Livingston, NJ For Respondent(s): Barry /\sen Esq. - New York, NY Date Filed: 01/21/94 First Scheduled: 08/09/94 Decided: 07/24/95 Case Summary: claimant, a former emptoyee of respondents, a member firm and registererd representative, alleges wrongful t

New York Stock Exchange In the iMatter of Arbitration Between NYSE Case: Oebra H. Allan vs. Merrill Lynch Pierce Fenner & Smith, Roy Williams and Scott Lowe Attorneys: For Clain»rl(«): Davkl F. Broderick Esq. - Bowling Green. KY For HeapondenHa): Whayne C. Priest Esq. - Bowling Green, KY Date Filed: 12/17/93 Case Summary: RR v. MF & RR's Rrst Scheduled: t filioQinQ thst Sn8 was torminstod Product: 07/20/94 based upon her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Taylor Management Corp., (Claimant) vs. Tasin & Co., Inc., Robert Tassinari, and Salvatore J. Sapienza, (Respondents) Case Number: 01-04085 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Taylor Management Corp., hereinafter referred to as "Claimant": Sheryl A. Zuckerman, Esq., Gusrae, Kaplan & Bruno, PLLC, New York, NY. Respondent, Tasin & Co., Inc. ("Tasin

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Janney Montgomery Scott, Inc. Name of Respondent Erik Walsh Case No. 00-01277 Hearing Situs-Boca Raton, Florida REPRESENTATION OF PARTIES For Janney Montgomery Scott, Inc. ("Janney"), hereinafter also referred to as "Claimant": Adam E. Miller, Esq. of the Law Offices of David Rich, P.A., Margate, Florida. For Erik Walsh ("Walsh"), hereinafter also referre

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Peter Duva v. Dean Witter Reynolds, Inc. Attorneys: For daimants): Thomas M. Campbell Esq. - New York, NY For Respondent(s): Brian F. Amery Esq. - Florham Park, NJ Date Filed: 09/27/93 First Sclieduled: 03/29/94 Decided: O8/19/94 Case Summary: claimant alleges that he was discriminated against on the basis of his religion. Claimant alleges that due to racist st

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Central Life Assurance Company, Alexander Hamilton Life Insurance Company of America, Inc. and Canada Life Assurance Company v Spear, Leeds & Kellogg Attorneys: For Claimant(s): J. Michael Vaughan Esq. - Kansas City, MO For Re5pondent(s): George Brunelle Esq. - New York, NY Howard Schiffman Esq. - Washington, DC Date Fiied: 12/15/1993 First Scheduled: 09/09/1997

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rita M. Reid v Goldman, Sachs & Co. and GoMman Sachs Group, L.P. Attorneys:. For Claimant(s): Stephen E. Tisman Esq. - New York, NY For Respondent(s): Stanley Arkin Esq. - New York, NY Theodore O. Rogers, Jr. Esq. - New York, NY Date Filed: O8/31/93 First Scheduled: 03/O8/94 Decided: 03/31/95 Case Summary: Claimant alleged in her Statement of Claim that the condu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert D. Lynch v The Nikko Securities Company International Attorneys: For Claimant(s): Philip V. Moyles Esq. - New York, NY For Respondent(s): C. Evan Stewart Esq. - New York, NY Date Filed: O8/23/93 First Scheduled: 01/12/94 Decided: 02/01/94 Case Summary: claimant, a former employee, has alleged that respondent made false and misleading representations regarding

v^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Check v. Advest, Inc. Attorneys: For Clainnnl(s): Morgan W. Bentley Esq. - Newark, NJ Fbr Respondent(s): Matthew Farley Esq. - New York, NY Date Filed: 07/30/93 First Scheduled: 02/i5/gr~ Decided: june 8, 1994 Case Summary: Claimant alleges that he was wrongfully terminated because he 'blew the whistle' on violations taking place in Respondent firm,