PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Patrick O'Connor, Claimant V. Olde Discount Brokerage, Sean Michael Mulvihill,Francis Thomas Campbell and Marc Andrew Turzo, Respondents Decision Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which v^as received by the Exchange on August 8, 1997. Claimant alleged churning. Breach of C

In the Matter of Arbitration Between Roy Stephens Claimant V. Currency Trading International, Respondent Decision Customer Small Claim #98-04 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 19, 1998. After being properly served. Respondent filed an Answer on March 30, 1998. With the approval of the Arbitrator,

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Donald Jeffers Inc Pension Plan, Claimants V. Dean Witter Reynolds Inc, Respondent Decision Public Customer Formal Claim File #97-16 Claimants filed a Statement of Claim and notarized SubmLission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on September 30, 1997. Claimants' submission alleged a failure to disclose

Philadelphia Stock Exchange, Inc. In the Matter of Arbitration Between Modesto Galvan, Claimant V. Professional Edge Fund, L.P., Respondent Decision ^?-03 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, 1997. After being properly served. Respondent failed to file an Answer which was due on October 27, 1998.

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Robert B. Loughran, Claimant v. Smith Barney, Inc., Respondent Decision MM Formal Claim File #97-02 Claimant filed a Statement of Claim against Respondent on May 6, 1997. Claimant alleged that Respondent owed to him a finders' fee in connection with Claimant's introduction of Respondent to Pan American Investment Co., Inc. ("Panamco") regarding investment bank

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Robert B. Kurtz, V. Claimant Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent Decision Public Customer Small Claim File #97-01 . Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on March 5, 1997. Claimant alleged a breach of Fiduciary Duty and a Bre

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