•Ni^ PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Prudential Securities, Inc., Claimant : Decision V. : -MM File #96-04 Eric Withers, 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 April 19, 1996. Claimant alleged that Respondent failed to honor his financial obligations as agreed, pur

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Prudential Securities, Inc. Claimant V. Agnes Martinelli, Respondent Decision Public Customer Formal Claim File #96-04 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on or about May 16, 1996. Claimant alleged violations that Respondent was unjustly enriched

PHILADELPHIA STT'IK EXCHANGE, INC. Decision MM Small Claim File #96-02 In the Matter of Arbitration Between Prudential Securities, Inc. Claimant v. William Palla, Respondent — • • — • • -   — ^ Claimant filed a Statement of Claim with the Exchange which was received on February 20, 1996. Claimant alleged that Respondent failed to repay a debt owed on a Promissory Note he signed on February 2, 1988. Claimant sought to

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between William P. Donaghy, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent Decision Public Customer Fo/-'"^'' Claim File #95-27 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on August 18, 1995. Claimant alleged claims of: breach of contract; breac

PHILADELPHIA STOCK EXCHANGE, INC. ^5' /< / In the Matter of Arbitration Between Tague Securities Corp. Claimant : Decision V. : MM File Global Trading Services and Hurricane Trading 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 28, 1994. Claimant sought payment from Respondents for unpaid execu

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Fahs Rolston Paving Corp., Maynard Fahs, Jr. and May Lou Fahs, Claimants V. Prudential Securities, Inc., Respondent Decision Public Customer Formal Claim File #95-17 Claimants filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange ("Exchange") which was received by the Exchange on June 10, 1995. Claimants' submission

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between : Seymour Holtman Claimant V. Smith Barney, Inc., Respondent Decision Public Customer Formal Claim File #95-15 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on June 2, 1995. Claimant's submission raised the following issues: violations of Sections

'PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Dennis Cook and Alice McEnercy Cook, Claimants V. Dean Witter Reynolds, Inc. and Robert Reidy, Respondents Decision Public Customer Fornil Claim File #95-14 " Claimants filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on May 19, 1995. Claimants' submiss

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Greenwich Strategies, L.P., Claimant V. Bert Rasche, Respondent Decision ^5-lA Claimant filed its Statement of Claim with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on September 23, 1994 seeking damages in the amount of $67,500.00 plus interest pursuant to the terms and conditions under the RGLP Partnership Agreement. Res

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Tague Securities Corp. Claimant V. Global Trading Services and Hurricane Trading Respondents Decision MM File 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 28, 1994. Claimant sought payment from Respondents for unpaid execution charges i