PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between: James H. Marley and Diane J. Marley, : f} -"S ^ Q P _ Decision Claimants V. Legg Mason Wood Walker, Inc. and Michael McCloskey, Respondents Claimants filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on April 27, 1992. Claimants' submission raise

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Co., Inc. and Name of Respondent 01-03297 Dallas, Texas Richard Andrew Taylor REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. ("Claimant") was represented by Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Francisco, California. Richard Andrew Taylor ("Respondent") was represented by Trey Harlin, Esq., M

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between: Gregg Wolfe and Cheryl Wolfe, : /3 2 /I / Claimants : Decision "3" ^' V. Janney Montgomery Scott, Inc. and Richard Robinson, Respondents : Claimants filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on November 26, 1990. Claimants alleged misrepresentation and/or negligent

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Margaret Ann Flick, : 'i n ^ //I Claimant : Decision ^A-" ' L) V. Prudential Securities, Inc. and Donald J. Wolfe, 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 18, 1991. Claimant alleged misrepresentation and/or omission of material

Award NASD Regulation, Inc. In ttie Matter of the Arbitration Between: Kenmore B. Emerson, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc., (Respondent) Case Number: 98-03654 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Kenmore B. Emerson, tiereinafter referred to as "Claimant" appeared pro se. Respondent, Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter referred to as "Respondent": Mitchell S. Drucker, Esq., Thacher P

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roland Harry Long and Gloria Ann Long, (Claimants) vs. Morgan Stanley Dean Witter, Inc. and James I. Dunn, (Respondents) Number- 01-03296 Hearing Site: Baltimore, Maryland Claimants, Roland Harry Long ("R. Long") and Gloria Ann Long ("G. Long"), hereinafter collectively referred to as "Claimants", represented themselves. Respondents, Morgan Stanley Dean Witter, Inc. ("MSDW

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01194 Kenneth Ackerman, claimant vs. JW Genesis Financial Services, Inc. and Peter Kirschner, respondents. ATTORNEYS: Claimant appeared Pro Se., Coconut Creek, FL. For Respondents appeared in-house counsel Gregory Tendrich, Boca Raton, FL. DATE FILED: March 20, 2000 CASE SUMMARY: Claimant alleged that respondents misrepresented information regarding the purchase of several stoc

06/13/01 WED 11:29 FAI NASD REGULATION ©002 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: _ Claimants vs. Piper Jaffray and Kevin C. Preble, Respondents. Case Number 00-00129 Hearing Site: Houston, TX PARTiES Claimant, Sandra Wavers, hereinafter referred to as "Claimant- Richard J. Judge, Jr. Esq. of Beyer, Ewing & Harris. Houston, TX Respondent, Kevin Preble of Litchfield Park, AZ represented h;mse£

i NYSE NYSE Regulation kthe Matter of Arbitration Between Case: Anthony Ameduri and Phyllis Ameduri v Salomon Smith Barney and George Feneis vs. Anthony Ameduri ar Phyllis Ameduri Docket: 2001-009003 Attorneys: For Qaimant(s): For Respondent(s): Matthew W. Woodruff - New York, NY Daniel R. Korb - Florham Park, NJ Date Filed: 3/23/2001 First Scheduled: 04/30/2002 Decided: \^ ( J z ^ Case Summary: Customer claim

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between: Sidney Cohen, : tJ/-/^/ Claimant : Decision /' ^ ' V, Prudential-Bache Securities, Inc., Respondents Claimant filed his Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. {"Exchange") which was received by the Exchange on May 21, 1991. Claimant alleged that Robert Gabriel, Claimant's financial advisor, failed to execute his s