New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Neuberger & Bennan v ChaseMellon Shareholder Sen/ices Attorneys: For Claimant(s): Joan M. Howe-Nicholson Esq. - New York, NY For Respondent(s): Stephen J. Dolmatch Esq. - Ridgefield Park, NJ Richard J. Schulman Esq. - New York, NY Date Fiied; 08/15/1997 First Scheduled; 0i/i4/i998 Decided; 06/30/1998 Case Summary; Claimant a member finn, alleges unauthorizedtradi

New York Stock Exchange Tn the Matter of Arbitration Between •• f NYSE Case; Samuel J, Holtsman v D.H. eieir & Co. ana AMad S. Patagonia Attorneys: For Clalmant(s): OonaU E. Grosefiekt Esq. - Rochester, NY For Rmpondeilt(s): Jeffrey M. Kapten Esq, - New York, NY Wlllism M. Moran Esq, - New Yoric. NY Date Filed; 08/04/1997 First Scheduled: 03/03/1998 Decided: 07/29/1998 Case Summary: Customer, claimant, aHeges misreprssantatlon, u

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Timothy W. Finneran vs. A.G. Edwards & Sons, Inc., Frank Lay, Rawls Fortenberry and Michael Chitwood Attomeys: For Claimant(s): Allan J. Fedor Esq. - Largo. FL James D. Keeney Esq. - Sarasote, FL For Respondent(s): Phyllis A. Hartrich Esq. - St Louis, MO Date Filed: 07/28/1997 Rrst Scheduled: 12/03/1997 Decided: 08/28/1998 Case Summary: Registered Rep, former Bra

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Joseph A. Santomo v. Atex Brown & Sons Inc., Stentey G. Tobin and Thomas U. Dudley Attorneys: For Claimants): NeU A. Sussman Esq. - New Yoric, NY For Respondentis): Sheila Mosmiller Vidmar Esq. - Baltimore, MD Date Filed: 07/24/1997 First Scheduled: 04/15/1998 Decided; 06/09/1998 Case Summary: Claimant alleges breach of fiduciary duty, negligence, feilure to fo

New York Stock Exchange In the Matter of Arbitration Between NYSI Case: George Spiegel. Trustee for M. Spiegel & Sons Oil Corp. Profit Sharing Trust v Merrill Lynch Attorneys: For Claimant(5): George Spiegel - Tuxedo Paric. NY For Respondent(s): Charles L. Henderson Esq. - New Yoric, NY Date Fiied: 07/07/1997 First Scheduled: 01/27/1998 Decided: 04/21/1998 Case Summary: Claimant, a customer, has alleged that respondentmade unauthorized t

^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Cari G. Konolige v Quick & Reilly Attomeys: For Claimants): Cari G. Konolige - Altentown, PA For Respondent(s): Douglas S. Flaherty Esq. - New Yoric, NY Dgte Filed: 07/i6/i997 First Scheduled: 01/22/1998 Decided; 01/22/1998 Case Summary: Claimant, a customer, has alleged that respondentfailed to follow his order to convert preferred unite of Terra Nitrogen to L

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: J. Nolan Renobato and Keith Stumbaugh, JT/WROS v. Merrill Lynch Pierce Fenner Smith and Timothy S. Sutheriand and Edward C. Anderson Attomeys: For Claimant(s): J. Nolan Renobato- The Woodlands.TX For Responctent(5): Todd Zuckerbrod Esq. - New Yoric, NY Date Filed: 07/09/1997 First Scheduled: 01/09/1998 Decided: 11/25/1998 Case Summary: Claimant a public customer, alleges res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp- rtf t^p rfafrpflnt r^p Murph^r" 01-04044 Ruti Gov Goldfm Leo Alan Gotleib Securities America, Inc. H p flrinp ^itp* Philadelphia, PA Claimant, Ruti Gov Goldfm, hereinafter referred to as "Claimant", represented herself at the hearing. Respondents, Leo Alan Gotleib ("Gotleib") and Securities America, Inc. ("Securities America"), hereinafter collectively refe

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kristina Tommos v Pmdenlial Securities Inc Attomeys: For ClalfflsnKs): John M. Kaefe Esq. - Bellevue. WA For Respondent(s): Steven L. Raimer &q. - New York. NY Date RIed: mnmssr First Scheduled: 06^4/1998 Dedded: 08/07/1998 Case Summary: Claimant a pubic customer, aUeges unauthorizedtrading, vtoMlon of the Wtahington SecuriUes Act and vtolalion of the Washington

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Peter Siris v ABN AMRO Chicago Corporation Attorneys: For Claimants): Ronald J. Offenkrantz Esq. - New York, NY For Respondents): Lawrence Portnoy Esq. - New Yoric, NY Date Filed: 06/26/1997 First Scheduled: 01/28/1998 Decided: 05/18/1998 Case Summary: Claimant alleges that respondentbreached a letter employment agreement, by not paying all sums due when the claimant was