New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. v Christopher R. Sllvaggi Attorneys: For Claimants): Justin Sacca Esq. - Huntington, NY For Respondents): Kenneth B. Schwartz Esq. - Garden City, NY Date Filed: 11/25/1997 First Scheduled: 05/04/1998 Decided: 06/23/1998 Case Summary: Claimant a member fimi, has alleged that respondentbreached his training agreementby resigning early, solic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name* nf th* Claimant Pagp Nnmhfv 01-04058 Fred Bertha rmHfiTif< ; paring ftitp' Philadelphia, PA Arthur Baker and Montauk Financial Group Claimant, Fred Bertha, hereinafter referred to as "Claimant": Richard D. De Vita, Esq., Attorney at Law, Hoboken, NJ. Respondents, Arthur Baker (Baker) and Montauk Financial Group (Montauk), hereinafter collectively referred to as "Respond

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company LLC vs. Jeremy Gorelick Attomeys: For Clalmant(s): Larry H. Krantz Esq. - New York, NY For Respondent(s): Jeremy Gorelick - San Diego, CA Date Filed: 11/21/1997 First Scheduled: 05/12/1998 Decided: 07/31/1998 Case Summary: Member Finn v. Registered Representative seeking to recover amounts allegedly due under the terms of a setUement agreementfb

\ / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities incorporated v. Edward O'Connor Attorneys: For Claimant(s): Arthur BaumgartnerEsq. - New York. NY For Respondents): Edward T. O'Connor- Danvers, MA Date Filed: 11/11/1997 First Scheduled: 2/19/1998 Decided: 2/19/1998 Case Summary: Member fimn claimant alleges breach of employment agreementand nonpaymentof promissory note. Pro

-^ ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Roland and Lynda Lundberg vs. Smith Bamey, Inc. Attomeys: For ClaimantCs): Adam S. Doner Esq. - West Palm Beach, FL For Respondent(s): Nicole Felton Esq. - New York. NY Date RIed: 11/12/1997 First Scheduied: 02/12/1998 Decided: 03/23/1998 Case Summary: Customers vs. Member Firm alleging unsuitable investments In limited partnerships, misrepresenta

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Robert W. Sides, Jr. v. Gmntal & Co. Attorneys: For Claimants): Raymond W. GruenderEsq. - SL Louis, MO For RespondenKs): Donald N. Cohen Esq. - New York. NY Date Filed: 11/03/1997 First Scheduled: 03/17/1998 Decided: 11/05/1998 Case Summary: Registered representative claimant alleges breach of contract and tailure to hire bank analyst misrepresentation and non-pa

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. L.L.C. v. James Walsh Attorneys: For Clalmant(s): David W. Schmidt - Kenitwortti, NJ For Respondeiit(s): Grover S. Parnell, Jr. Esq. - Boston, MA DateFiled: 11/04/1987 First Sclieduled: 03/i7/i998 Decided: 09/24/1998 Case Summary: Memberfirm claimant alleges breach of Employment Agreement, non-paymentcf promissory note, errors in customer accoun

^'e>v York Stock Exchange ^n the Matter of Arbitration Between V NYSE Case: Sally (Selma Ann) Bolhowervs. Smith Barney and Renee Siegel Attorneys: For Claimant(s): Sally Ann Bolhower- New York, NY For Respondent(s): Ann Parry Esq. - New York, NY Date Filed: 11/06/1997 First Scheduled: 03/13/1998 Decided: 04/07/i998 Case Summary: Customervs. Member Firm and Registered Rep alleging fraudulentand unlawful conduct witti Claimant's IRA ac

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. vs. Anthony Polimeni Attorneys: For Claimant(s): Bruce J. Kahne Esq. - New Yorit, NY For Respondent(s): Anthony G. Mango Esq. - New Yori< , NY Date Filed: 11/05/1997 First Scheduled: 03/17/1998 Decided: 04/07/1998 Case Summary: Member Finn vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due underthe terms of a promisso

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Marc J. Ventimiglia v Hambrecht & Quist LLC and James Tarantino Attorneys: For ClaimantCs): Brian H. Reis Esq. - New York, NY For Respondent(s): Susan Heaney Esq. - San Francisco, CA Date Filed: 11/04/1997 First Scheduled: 02/11/199B Decided: 10/15/98 Case Summary: Non-memt)er (Autex Operator) vs. Member Firm and Registered Rep alleging wrongful temiinatnn, del