Sew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alfred D. Stavros and RosaannaStavros v Oean WMar Reynolds Inc., 'Melanie.' Mr. Tucker, and John Lussier Attorneys: For Claimantfa): James E. Beckley Esq. - Wheaton, IL For Respondanl(8): Debra A. Roth Eaq - New York, NY Fraderick S. Schrils Esq. - Tampa, FL Date Filed: 02/13/1998 First Scheduled: 03/17/1999 Decided: 09/09/1999 Case Summary: Customers against mem

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dominic J. Yannuzzi III v. David I. Kluger, James F. Ingaizo, Kidder Peabody & Co. Incorporated, now PaineWebber, Inc., Shearson Lehman Brothers, Smith Bamey Shearson, now Smith Bamey Attorneys: For Clainiant(s): /Mvin B. Marshall Esq. - Pottsville, PA For Respondent(s): Donald S. Davidson Esq. - Weehawken, NJ Brian McDonough Esq. - New York, NY /Vnn Parry Esq. - New Yor

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Felipe Piovanetti Garcia v Dean Witter ReynoMs, Inc., Peter Serralles, Bruce Alonos and Elliot Server Attomeys: For Claimants): Anibai Lugo Miranda Esq. - Hato Rey, PR For Respondent(s): Jorge I. Peirats Esq. - Hato Rey, PR Date Filed: 02/11/1998 First Scheduled: 09/29/1998 Decided: 05/04/1999 Case Summary: Claimant, a fbrmer employee, has alleged that he was w

1/ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Joan Blenduga and Zenon Bienduga v Prudential Securities Inc. and Steven F. Esposito Attomeys: For Claimants): James E. Beckley Esq. - Wheaton, IL For Respondents): Peter von Maur Esq. - New York, NY Date Filed: 04/15/1997 First Scheduled: 04/26/1999 Decided ^ ^i['i'{ Case Summary: Customers against member finn fbr unsuitable investments, breach of fkiuciary duty, neg

New York Stock Exchange NYSE In tbe Matter of Arbitration Between Case: vtuki Carr vs. Prwtenbal Securities, Inc., PalneWebbar.lnc.. Ken Mahoney and Tom ftalOwrt Attorneys: For Chimant(a). Simone Sicola - Hendersonvile. NC Fer llMpQndMKe): Amy Bard Esq. - WMMwkan.NJ Afthur Baumgaitnef Esq. - New Yoih. NY James P. McLoughlin Esq. - Chariotte. NC Date Filed: 02/02/1998 First Scheduiedr 1000/1998 Dsckted: 02n)2/i9SS Case Summary: Ctoimanl alleg

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Inc. v Jason R. Wirtzer Attorneys: For Claimant(s): David W. Schmidt Esq. - New York, NY For Respondent(s): Jason Wirtzer - Studio City, CA Date Filed: 01/07/1998 First Scheduled: 09/09/1998 Decided: 02/15/1999 Case Summary: Member firm against customer for debit in account. Product: Market: Claim Data Claim: 84,029.28 Punitive: so.o

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jeffirey Putterman v. Stephens, Inc. Attorneys: For Claimant(s): Morgan W. Bentley Esq. - Newark, NJ For Respondents): Amy Stewart Esq. - Little Rock, AK Date Filed: 01/08/1998 First Scheduled: 07/28/1999 Decided: 12/09/1999 Case Summary: Claimant alleges that Respondentwrongfully tenninated him and then defamed him with the filing of a iatee RE-3 Report which le

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. Baird & Co. Incorporated, (Claimant) vs. Lee A. Skierkiewicz, (Respondent) Case Number: 01-03954 Hearing Site: Cincinatti, Ohio REPRESENTATION OF PARTIES Claimant, Robert W. Baird & Co. Incorporated, hereinafter referred to as "Claimant": Brian D. Trexell, Esq., Associate General Counsel, Robert W. Baird & Co. Incorporated, Milwaukee, WI. Respondent, Lee A. Skierkiewicz, h

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mark Steffan v Prudential Securities, Inc., Evan Collins and Charies Carty Attorneys: For Claimant(s): Brett Locker Esq. - Santa Barbara, CA For Respondent(s): Janet Simmons Stemler Esq. - Long Beach, CA Date Filed: 12/19/1997 First Scheduled: 06/16/1998 Decided: zinlfl Case Summary: Registered representafive against member finn, office manager and registered rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp Claimant Wachovia Securities Inc. Name nf the Respondent Prudential Securities, Inc. Case Number 01-03953 Rearing Site: Raleigh, North Carolina RF.PRFSFNTATTON OF PAKTTKS Claimant Wachovia Securities Inc., hereinafter referred to as "Claimant", was represented by Steven L. Manchel, Esq., Manchel, Maloney & Brennan P.C,, Newton, Massachusetts. Respondent P