PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Prudential Securities, Inc., Claimant : Decision V. : MM File #97-01 Robert Schulte, Respondent 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 8, 1997. Claimant alleged that Respondent failed to honor his financial obligations as agreed, pursuant

\ PHILADELPHIA STOCK EXCHANGE, INC. In the Smith Matter of Leonard Barney, Arbitration Between : Renfro, : Claimant Incorporated, : Respondent : Decision Fml Cl# 96-05 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, 1996. Claimant filed an Amended Statement of Claim which was received by the

PHILADELPHIA STOCK EXCHANGE, INC In the Matter of Arbitration Between Bearcat Inc., Pablo Mariano, Claimant Respondent Preliminary Hearing Decision Member Member File #96-05 After "^eview of the parties' document and information requests, it has been determined as follows: 1. Claimant is to provide Respondent copies of the Daily Activity Reports, Market Maker Haircut Reports and Market Maker Status Reports from May 23, 24, 27 of

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Bearcat Inc., Claimant V. Pablo Mariano, Respondent Decision Member - Member File #96-05 Claim.ant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on September 10, 1996. Claimant sought to recover damages from the Respondent for the Respondent's draw and tr

•Ni^ PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Prudential Securities, Inc., Claimant : Decision V. : -MM File #96-04 Eric Withers, Respondent Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on April 19, 1996. Claimant alleged that Respondent failed to honor his financial obligations as agreed, pur

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Prudential Securities, Inc. Claimant V. Agnes Martinelli, Respondent Decision Public Customer Formal Claim File #96-04 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on or about May 16, 1996. Claimant alleged violations that Respondent was unjustly enriched

PHILADELPHIA STT'IK EXCHANGE, INC. Decision MM Small Claim File #96-02 In the Matter of Arbitration Between Prudential Securities, Inc. Claimant v. William Palla, Respondent — • • — • • -   — ^ Claimant filed a Statement of Claim with the Exchange which was received on February 20, 1996. Claimant alleged that Respondent failed to repay a debt owed on a Promissory Note he signed on February 2, 1988. Claimant sought to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Name of fo p ^ainiflf^ Pgsft l^-prnhpf 01-03310 Howard and Laurie Hardin Name of thp Rpgpnnffcnls Hearing-Site: Richmond, VA Morgan Stanley DW Inc. Christopher T. White Stamford Y. Niou EE?RFSFNT Tn Claimants Howard and Laurie Hardin ("Claimants") were represented by Mark J. Krudys, Esq. of the law firm of Mark J. Krudys, PLC } Richmond, Vir

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between William P. Donaghy, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent Decision Public Customer Fo/-'"^'' Claim File #95-27 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on August 18, 1995. Claimant alleged claims of: breach of contract; breac

PHILADELPHIA STOCK EXCHANGE, INC. ^5' /< / In the Matter of Arbitration Between Tague Securities Corp. Claimant : Decision V. : MM File Global Trading Services and Hurricane Trading Respondents • Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on September 28, 1994. Claimant sought payment from Respondents for unpaid execu