PHILADELPHIA STOCK EXCHANGE, INC In the Matter of Arbitration Between Mark Weber, Claimant v. Lawrence M. Green, Respondent Decision MM #94-09 The hearing on the merits was held on November 1, 1994. The confirmed arbitrators who heard the proofs of the parties and thereafter rendered this Decision are: Harry Green, III, Marc Eisen and Frederick Fichtl. Claimant asserted a claim against Lawrence M. Green, or more appropriately, agains

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between: James Van Reenan, Claimant : Decision V. : File #94-08 Prudential Securities, Inc. and Kurt Poling 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 May 5, 1994. Claimant alleged unsuitability and omission of material facts regarding

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Tonino LaBella, Claimant v. Bruce Schreiber, Respondent Decision MM 94-06 Pursuant to PHLX Rule 950, §12, Dismissal of Proceedings, the panel has determined to dismiss the above-referenced matter and refer the parties to the remedies provided by applicable law. Respectfully Submitted, Dated: 10/17/94 Patricia Bird Reed Panel Chairperson

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Elizabeth Nadwondy, Claimant V. Legg Mason Wood Walker, Inc. and Robert A. McMahon, Respondents Decision File #94-04 A preliminary hearing was held on Thursday, February 2, 1995. Oral Argument was presented by the parties with regard to Respondents' Motion to Dismiss ("Motion"). Respondents' Motion has been granted in part and denied in part. It has been deter

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Sal DiAmbrosio and Highland, Capital Group, Claimants V. Alfonso J. Passaro, Respondent Decision MM File #94-03 The Claimants filed the Statement of Claim on February 23, 1994. Claimants alleged that Respondent failed to accept a trade regarding his sell order of 2,800 GIC at 51 1/8. Claimant seeks to recover $1,750.00 in compensatory damages plus commissions and

PHILADELPHIA STOCK EXCHAKGE, INC. In the Matter of Arbitration Between Steven J. Sullivan, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Respondent Decision MM Formal Claim File #94-01 Claimant filed his Statement of Claim with the Exchange on June 13, 1994 alleging that Respondent in terminating Claimant from his employment engaged in age discrimination against him in violation of the Age Discrimination in Employmen

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Betwee.i Gregory Seward, Claimant v. R. Keith Aufhauser and Company, Inc. and R. Keith Aufhauser, Respondents Decision File #94-01 The Statement of Claim was filed with the Exchange on April 5, 1994. Claimant alleged that the broker failed to place a market order to sell 50 contracts of Dell Computer March 25 Calls and instead, wrongfully provided unsolicited advi

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Richard M. Martinez, Claimant V. Olde Discount Corporation, Respondent Decision #93-29 Claimant filed his Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on December 13, 1993. Claimant alleged that Respondent breached its contract with Claimant by having erroneously so

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Beuween Waldemar G. Osterman and Lydia Osterman, Claimants : Decision V. : #93-27 Prudential-Bache Securities, Inc., and David Batu, Respondents Claimants filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") on November 26, 1993. Claimants alleged unsuitability; misrepresentation and/or omission of material fact

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between; Mark Weber Company, : /3 2 "7 z, Claimant : Decision lO^-C,^ V. Daniel Baer, 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 November 11, 1991. Claimant alleged that the working agreement between Mark Weber Company and Daniel Baer provided f