New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonard Willlg v Kklder Peabody & Co. Inc. Attorneys; For Claimant(s): Seth Lipner Esq. - Garden City, NY For Respondents): George O. Rtohardson, III Esq. - New York, NY Date Filed; 08/28/1997 First Scheduled; 01/20/1998 Decided: 02A)5/i998 Case Summary: Claimant alleges that Respondentconvinced him to invest in unsuiteble limited partnerships by making material

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Mari< Woodv. Southwest Securities Inc. Attorneys; For Claimant(s): Greg May Esq. - Dallas, TX For Respondent(s): Thomas J. Fisher Esq. - Dallas, TX DateFiled: 08/11/1997 First Scheduled; 0i/2i/i998 Decided: 3-31-1998 Case Summary: Claimant alleges that the finn did not pay him his 1996 bonus. Claimant seeks a recovery based on quantum meruit and breach of con

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: William J. Kalif vs. Menill Lynch Pierce Fenner & Smith, Inc. Attorneys: For Claimant(s): William A. Jacobson Esq. - Providence, RI For Respondent(s): Margarite Ramos Esq. - New Yoric, NY Date Filed: 08/28/1997 First Scheduled: 01/22/1998 Decided: 3/16/1998 Case Summary; Registered Representetive alleges breach of contrad, withholding of commissions, failure to

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Elizabeth A. Sidders v Charles Schwab & Co., Inc. Attorneys: For Clalmant(s): Elizabeth A. SkJders - Whispering Pines, NC For Respondents): Steve Murphy Esq. - San Francisco, CA Date Filed: 08/18/1997 First Scheduled; 12/29/1997 Decided: 01/05/1998 Case Summary: Claimant alleges that Respondent invested her money In a fund other than the fund she requested.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward Gillen and Margaret Gillen v Smith Bamey, Inc. and Dean Witter Reynokls, Inc. Attomeys: For Claimant(s): John E. Lawlor Esq. - Mineola, NY For Respondent(s): /Mejandro Schwed Esq. - New Yori< , NY James D. Yellen Esq. - New Yori< , NY Date Filed: 08/15/1997 First Scheduled: 03/19/1998 Decided: 03/19/1998 Case Summary: Claimants allege that RespondentSmith Ba

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mahin F. Siegel v Interstate/JohnsonLane and Steriing Zerbe Attomeys: For Claimant(s): Sandra L. Malkin Esq. - Atiante, GA For Respondent(s): Louise B. Duffy Esq. - Atiante, GA Pamela P. WamementEsq. - Chariotte, NC Date Filed: 08/15/1997 First Scheduled: 03/04/1998 Decided: 06/25/1998 Case Summary: Claimant alleges that Respondentsmade unauthorizedtrades in her

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: John R. Kirchner, John C. Kirchner Living Trust 01-04045 U/A DTD 3-4-91, and John C. Kirchner, individually Names of Respondents Hearing Site: American Express Financial Advisors, Inc., Tampa, FL REPRESENTATION OF PARTIES For John R. Kirchner, John C. Kirchner Living Trust U/A DTD 3-4-91, and John C. Kirchner, individually, hereinafter collectively referred to as

New Yoric Stock Exchange In the Matter of Arbitration Between y NYSE Case: Richard L. Adams Jr. v Prudential Securities Incorporated Maorneys; For Claimant(s): Ralph A. Gant Esq. - New York, NY For Respondents): Brian F. Amery Esq. - Flortiam Park, NJ Date Filed: 08/14/1997 First Scheduled; 03/12/1998 Decided: 05/15/1998 Case Summary: Claimant alleges that he was wrongfully terminated by Respondentwhich then defamed him on an inaccur

New York Stock Exchange In the Matter of Arbitration Between '•y NYSE Case: Gregg Stein and Dena Stein v Rodman & Renshaw, Inc. and John Viscogliosi Attorneys: For Claimant(s): Jeffirey Plotkin Esq. - New Yori< , NY For Respondent(s): Timothy G. McDemiott Esq. - Chicago, IL D^te Filed: 08/13/1997 First Scheduled: 01/14/1998 Decided: 01/20/1998 Case Summary; Claimants, public customers, allege negligence, failure to follow instrudions

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Prudential Securities incorporated v Anthony J. De Palma Attorneys: For Claimant(s): Gerard Kowalski Esq. - New York, NY For Respondeitt(s): Joshua R. Cohen Esq. - Cleveland, OH Date Filed: 07/23/1997 First Scheduled; 11/13/1997 Decided: 7/3/98 Case Summary: The firm alleges the registered representative feiled to repay the balance of a promissory note when he termin