• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Cynthia and Philippe Hatstadt v FleetBoston Financial, FleetBoston Robertson Stephens, Inc., Bayview 2000, L.P., Bayview 20001, L.P., Bayview 2000 GP, L.L.C., Robert Emery, Richard Bianchina, Sr., John Rohal, Dana Welach and Frank Brine - Docket Number: 2002-009986 Attomeys: For Claimant(s): Christopher Lovell - New York, NY For Respondent(s): Kenneth Tumbull - New Yor

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claiaants, v. L.F. ROTHSCHILD fc CO., INC., Respondent and Third-Party Claiaant, KBVIN D. BODEN, Third-Party Respondent, AWARD MS88-90 SC8-038; MS88-91; MS88-92 k MS88-93 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 31, hereby state as follows: We have been selected to act as arbitrators and to review and deteraine the captioned consoli

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claiaant, V. MOORE & SCHLEY a/k/a NOORB fc SCHLEY MUNICIPALS, INC. and MALCOLM READER, Respondents. AWARD MS 88-54 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 31, hereby state as follows: We have been selected to act as arbitrators and to review and deteraine the captioned aatter in controversy between the above Claiaant and Respondents set fo

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Patrick O'Connor, Claimant V. Olde Discount Brokerage, Sean Michael Mulvihill,Francis Thomas Campbell and Marc Andrew Turzo, Respondents Decision Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which v^as received by the Exchange on August 8, 1997. Claimant alleged churning. Breach of C

In the Matter of Arbitration Between Roy Stephens Claimant V. Currency Trading International, Respondent Decision Customer Small Claim #98-04 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on February 19, 1998. After being properly served. Respondent filed an Answer on March 30, 1998. With the approval of the Arbitrator,

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Donald Jeffers Inc Pension Plan, Claimants V. Dean Witter Reynolds Inc, Respondent Decision Public Customer Formal Claim File #97-16 Claimants filed a Statement of Claim and notarized SubmLission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on September 30, 1997. Claimants' submission alleged a failure to disclose

I Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: KENNETH AND D1ANN ORLOWSKI, and SAFETY ANALYSIS, INC. EMPLOYEES PENSION PLAN & TRUST, Claimants, v. RICHARD BOURGON, ROSEMARY BOURGON, RETIREMENT FUNDING, INC., AXA AD VISORS,LLC (FORMERLY EQ FINANCIAL CONSULTANTS, INC. FORMERLY EQUICO SECURITIES, INC.), THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, MARINER FINANCIAL SERVICES, J.

Philadelphia Stock Exchange, Inc. In the Matter of Arbitration Between Modesto Galvan, Claimant V. Professional Edge Fund, L.P., Respondent Decision ^?-03 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on August 19, 1997. After being properly served. Respondent failed to file an Answer which was due on October 27, 1998.

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Robert B. Loughran, Claimant v. Smith Barney, Inc., Respondent Decision MM Formal Claim File #97-02 Claimant filed a Statement of Claim against Respondent on May 6, 1997. Claimant alleged that Respondent owed to him a finders' fee in connection with Claimant's introduction of Respondent to Pan American Investment Co., Inc. ("Panamco") regarding investment bank

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Robert B. Kurtz, V. Claimant Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent Decision Public Customer Small Claim File #97-01 . Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on March 5, 1997. Claimant alleged a breach of Fiduciary Duty and a Bre