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

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

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

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