Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03978 Thaddeus Wong Name of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley Dean Witter, Inc. and John S. Spillane REPRESENTATION OF PARTIES Claimant Thaddeus Wong ("Wong") was represented by Andrew J. Stoltmann, Esq. of the firm Koeller Hargett & Caruso located in Chicago, Illinois. Respondents Morgan Stanley Dea

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: PrudenUslSecurlies moorporstsdv. Loretta Msreado Attomeys: For ClalmanKi): Alan S. Brodherson Esq. - New York, NY For Raapondanll*): LDietta Mercado - Dettona. FL Date Filed: osas/isss FJrtt Scheduled: 04/15/1999 Oecided: 04/1 s/i see Case Summary: Member firm daimant alagaa breach of Emptoyment Agreementand nan^aymantof Premitaery Note and aaeka contrliution Ibr

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen p. Payne v. Interstate/JohnsonLane and George Lewis Hayes Attorneys: For Claimant(s): Ntoholas D. Thomas Esq. - Raleigh, NC For Respondent(s): Pamela P. WamementEsq. - Chariotte, NC Date Filed: 08/25/1998 First Scheduled: 05/12/1999 Decided: 7-28-1999 Case Summary: Stephen Payne, a customer of Interstate/JohnsonLane, alleges ttiat the firm and George Lewi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salomon Smith Barney, Inc. v. Brett K. Lurie Attorneys: For Clafmantti): Jascffi 8. HaselJrom, Esq. For Respondent(s): Brett K. Lurie - Fort Lauderdale, FL - West Palm Beadci, FL Date Filed: 09/02/1998 First Scheduled: 03/03/1999 Decided: Jferch 3, 1999 Case Summary: Member firm customer alleges breach of contract and failure to deliver shares of Physicians L

New York Stock Exchange In the Matter of Arbitration Between \y' NYSE Case: Robert Bradley and R.M. Bradley Capital, LTD vs. Charles LeDone Attorneys: For Claimants): Michael J. McAllister Esq. - New York, NY For Respondent(s): David M. Sobel Esq. - New York, NY Date Filed: 09/10/1998 First Scheduled: 03/18/1999 Decided: 05/19/1999 Case Summary: Member and fomier Member Firm vs. Member (Fonner emptoyee) in a trading floor dispute ari

New York Stock Exchange In the Matter of Arbilration Between y NYSE Case; ShahreKh Razi v. Merril Lynch and Oavkt Hal v. Baluan Rail Attomeys,' PerClakiwntfs): Jeflley S. Goldsisin - Housun. ix For Recpondsnifs): Mienaol Oinfly Esq.. New YoiK NY FOrSfdParv: Oregery L. Sweeney Esq. - Hoiman, TX Date Filed: lOAO/isss First Scheduled: 03^3/1889 Dedded: iofie/i89e Casa Summary: Claimam,.a public cUHemtr, illsges fraud, unauiherlz

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Maureen Esser v Sm'rth Barney, Inc. Attorneys: For Claimant(s): Maureen Esser - Ft. Lauderdale, FL For Respondent's): Paul Giappone Esq. - New Yoric, NY Date Filed: 06/30/1997 First Scheduled: 03/24/1999 Oecided: 08/04/1999 Case Summary: Customer against member fer negligent supenrlsion of broker who chumed accounts; purchased unsuttabte stocks intentionally or r

/ / ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard J. Papetti vs. Weiss, Peck & Greer, L.L.C. and Steven Pomerantz Attomeys: For Claimant(s): Steven J. Shore Esq. - New York, NY For Respondent(s): Stanley S. Aricin Esq. - New Yoric, NY Date Filed: 08/03/1998 First Scheduled: 01/05/1999 Decided: 04/20/1999 Case Summary: Registered Rep vs. Member Fimn (fbrmer employer) and Registered Rep/Principal al

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frances J. Cross vs. Morgan Stanley Dean Wttter, Inc. and James R. Paige Attomeys: For Claimantls): Envin Cohn Esq. - Chicago, IL For Respondent(s): James D. Yellen Esq. - New Yoric, NY Date Filed: 08/03/1998 First Scheduled: 11/12/1998 Decided: 06/25/1999 Case Summary: Customer vs. Member Firni seeking ttie recovery of ttie tax consequencesand lost opportuntty resut

lew York Stock Exchange in the Matter of Arbitration Between NYSE Case: CISC Oppenheimer corporation v. /\sher Fensteriieim Attorneys: For Claimants): Lloyd S. Clareman Esq. - New Yoric, NY For Respondents): Graeme W. Bush Esq. - Washington, DC Date Filed: 07/17/1998 First Scheduled: 01/20/1999 Decided: 04/28/1999 Case Summary: Claimant, a member finn, alleges respondent, a public customer, failed to meet a margin call. Claimant further