PHILADELPHIA STOCK EXCHANGE, INC, In the Matter Robb, E Les of Peck, slee Arbit ration Between : McCooey, : Claimant : V . Berger, Respondent : Decision MM File #95-02 Claimant filed a Statement of Claim ("Claim") against Respondent on February 9, 1994 alleging Ms. Berger's failure to pay commission bills in excess of $6,000.00. In lieu of filing an Answer, Respondent entered into a Settlement Agreement with C

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Cesare Protto, Mark Wren, Claimant Respondent Decision MM #95-02 Claimant filed his Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on January 24, 1995. Claimant alleged that Mark Wren, Claimant's employee, terminated his relationship in violation of employment arranged

PHILADELPHIA STOCK L.XCHANGE, INC In the Bl St Matt oom even er of Arbitration Between : Staloff Corporation, : J Claimant : Goldstein, : Respondent Decision Member - Member. File #95-01 Claimant filed a Statement of Claim with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received on January 23, 1995. Claimant sought to recover damages in excess of $500,000.00 plus attorney fees, costs and expe

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Edgar W. Almquist, Claimant V. Kemper Securities, Inc. Respondent Decision Formal Claim File #95-01 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 6, 1995. Claimant alleged Respondent forged signatures on non-agreed to margin account docum

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between: Lawrence A. DeMaio, Claimant V. Investors Associates, Inc. and David J. Britton, Respondents Decision File #94-28 A preliminary hearing conference, via telephone, was held on Thursday, February 16, 1995 at 10:00 A.M. Arbitrators Joseph H. Tucker, Jr., Esquire and Andrew Davitt, Esquire presided. Oral argument was presented to the arbitrators with respect to R

PHILADELPHIA STOCK EXCHANGE, INC. Decision ^ IT"'^ T In the Matter of Arbitration Between Robert M. Kerwick, Claimant V. Nancy Schroeder and Merrill Lynch, Pierce, Fenner & Smith, Inc., 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 July 20, 1994. Claimant alleged suitability and lost use of

PHILADELPHIA STOCK EXCHANGE, INC, in the Matter of Arbitration Between Phoenix Trading, Inc., Claimant V. LIT, America, Inc., Respondent and Third-Party Claimant V. Robert Wachtel, Third-Party Respondent Decision ^^./O After having heard the presentations by the parties during the hearing on the merits as held on September 26, 1994, it is hereby decided that Claimant's Statement of Claim is Denied^ in full. Further, Respo

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Phoenix Trading, Inc., Claimant V. LIT America, Inc., Respondent and Third-Party Claimant V. Robert Wachtel, Third-Party Respondent Decision OA.\b A preliminary hearing was held on Monday, March 28, 1994. After having heard the presentations of the parties, it has been unanimously determined and decided as follows: 1. The Philadelphia Stock Exchange, I

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Maxlyn D. Loos, Claimant V. Charles Schwab & Co., Inc., Respondent Decision File #94-10 Clainant filed a Statement ov Claim with the Philadelphia Stock Exchange, Inc. ("Exchange") on April 27, 1994. Claimant alleged that: 1) Charles Schwab Corporation had unreasonably refused to execute his July 30, 1990 market order for 125 United Air Lines 150 August 1990 pu

% /'W Award /v;^ NASD Dispute Resolution ^V \mtii< ^Matter of the Arbitration Between: * Claimant Casg NiimJKi' 01-03303 James T. Botticelli, M.D. Hearing-Site: Milwaukee, Wisconsin Thomas M. Linn; and Robert W. Baird & Co., Inc. Claimant James T. Botticelli, M.D., hereinafter referred to as "Claimant": Paul R. Erickson, Esq. of the firm of Gutglass, Erickson, Bonville, Seibei & Falkner, S.C., located in Milwaukee, Wisconsin. Respondents