Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Soes We Go LTD and James Altaian, Claimant v. D.E. Wine Investments, Inc., Respondent Case Number: 01-03298 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Soes We Go LTD, and James Altaian (hereinafter referred to as "Claimants,") were represented by Keith M. Kernels, Esq., of Pollicoff, Smith & Kernels, L.L.P. located in Houston, Texas, D.E.Wine Investment

PHILADELPHIA STOCK EXCHANGE, INC. Decision File #93-21 In the Matter of Arbitration Between F. Eugene Mitchell, Individually, F. Eugene Mitchell for the trust of Francis V. Mitchell, Claimants v. Merrill Lynch, Pierce, Fenner, and Smith, Inc., Respondent Claimants filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on October 7, 1

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between John J. Kohler and Marian B. Kohler, Claimants V. Prudential-Bache Securities, Inc. and A.G. Edwards & Sons, Inc., Respondents Decision ^}-l'i The Statement of Claim, as amended, was filed by the Claimants herein which was received by the Exchange on November 4, 1991. Both Respondents had filed their Answers, respectively, to the Statement of Claim. The confirmed

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Gregory P. Russo, Claimant V. Personal Control Financial Network, Pershing Division of Donaldson, Lufkin and Jenrette Securities Corporation, Respondent Decision ^^3-/21- Claimant filed his Statement of Claim with the Exchange on June 28, 1993. Claimant alleged negligence, breach of contract, negligent misrepresentation, conversion, breach of common law du

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Francis Shipkowski, Claimant : Decision v. : #93-03 Shearson Lehman Associates, Inc., and Peter Wenz, Respondents Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") on July 8, 1993. Claimant alleged unsuitability; misrepresentation and/or omission of material facts; fraud; negligence; breach of

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Francis Shipkowski, Claimant V, Shearson Lehman Brothers and Peter Wenz, Respondents Decision A preliminary hearing was held in Philadelphia, Pennsylvania on Wednesday, April 13, 1994. The Panel heard testimony and oral argument from the parties with regard to the Respondents' Motion to Dismiss the Statement of Claim ("Motion"). The Respondents' Motion is granted

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Daniel Frankel v. Butcher & Company Claimant V. Butcher & Company, Wheat First Securities and Butcher & Singer, Inc. Respondents Decision ^3-c?^ A hearing on the merits was held in Philadelphia, Pennsylvania on Wednesday, July 7, 1993. John Jordan presided as Chairman of the Panel. Other panel members were Michael Shalley and Kathryn MacDonald. Claimant fi

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Estate of Mary P. Totoro, Joseph P. Totoro, Executor Claimant V. Legg Mason Wood Walker, Inc. Respondent ^ Decision ^3'^^ Claimant filed his Statement of Claim with the Exchange on April 15, 1993, asserting failure to supervise, unsuitability and misrepresentation of material facts. Respondents filed their Answer, Motion to Strike and Motion to Dismiss on June 14,

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between David Kanes, Claimant V. Boenning and Scattergood, Inc. and Michael Kerrigan, Respondents Decision File #93-04 The Statement of Claim was filed by Claimant on September 14, 1993. Allegations of misrepresentation of material facts, unsuitability and failure to supervise were contained in the Statement of Claim. Claimant sought to recover damages in the amount o

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Henry and Carol Rosich, Claimants V. Shearson Lehman Brothers, Inc. and Bernard Sack, Respondents Decision , The Claimants filed their Statement of Claim with the Exchange on March 29, 1993. Claimants asserted allegations of fraud; breach of fiduciary duty; unsuitability; negligence; breach of contract; violations of federal securities laws; violations of Pennsylv