PHILADELPHIA STOCK EXCHANGE, INC, in the Matter of Arbitration Between Phoenix Trading, Inc., Claimant V. LIT, America, Inc., Respondent and Third-Party Claimant V. Robert Wachtel, Third-Party Respondent Decision ^^./O After having heard the presentations by the parties during the hearing on the merits as held on September 26, 1994, it is hereby decided that Claimant's Statement of Claim is Denied^ in full. Further, Respo

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Phoenix Trading, Inc., Claimant V. LIT America, Inc., Respondent and Third-Party Claimant V. Robert Wachtel, Third-Party Respondent Decision OA.\b A preliminary hearing was held on Monday, March 28, 1994. After having heard the presentations of the parties, it has been unanimously determined and decided as follows: 1. The Philadelphia Stock Exchange, I

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Maxlyn D. Loos, Claimant V. Charles Schwab & Co., Inc., Respondent Decision File #94-10 Clainant filed a Statement ov Claim with the Philadelphia Stock Exchange, Inc. ("Exchange") on April 27, 1994. Claimant alleged that: 1) Charles Schwab Corporation had unreasonably refused to execute his July 30, 1990 market order for 125 United Air Lines 150 August 1990 pu

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