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OUR PAST CASES AND PROGRESS

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Our past cases and experience, while they cannot be adequately and comprehensively described here, but a sample of them are selected and summarized below.

This list of selected cases and decisions is not intended, nor should it be construed, as implying a likelihood of similar results in any other case. Each case depends upon its unique facts and circumstances.

George Brunelle

  1. McCarthy v. SEC, 406 F.3d 179 (2d Cir. 2005) (reversal, as an abuse of discretion, of SEC’s affirmance of NYSE disciplinary action, in a case that has become an important precedent in the assessment of regulatory sanctions).

  2. Matter of X, NYSE Disc. Action 97-93, 1998 NYSE Disc. Action LEXIS 154 (June 4, 1998) (“not guilty” decision in a case alleging multiple trading violations of a serious nature).

  3. Robert Harry Jones, NYSE Hearing Bd. Decis. 93-72, 1993 NYSE Disc. Action LEXIS 146 (June 11, 1993) (finding of “not guilty” on all but a single, minor violation in a case that had alleged several major trading violations involving multiple customers).

  4. Matter of X, NYSE Disc. Action 92-163, 1992 NYSE Disc. Action LEXIS 161 (Oct. 23, 1992) (“not guilty” decision in favor of registered representative who had been accused of effecting illegal ”wash sales”).

  5. Matter of X, 1992 NYSE Disc. Action 92-141 (Sept. 18, 1992), (“not guilty” decision in favor of individual who had been accused of initiating unlawful transactions on the NYSE Trading Floor and of making material misstatements of fact to the NYSE).

  6. Matter of X, 1992 NYSE Disc. Action 92-119, 1992 NYSE Disc. Action LEXIS 122 (Aug. 17, 1992) (“not guilty” decision in favor of a broker who had been accused of making false statements to an NYSE Floor Official).

  7. Les Jacobs v. First Albany Corporation, 1998 NYSE Arb. Dec. LEXIS 110 (Jan. 19, 2000)(successful defense of executive compensation claim).

  8. Anne Brabner-Smith, et al. v. Fidelity Brokerage Services, Inc., 1996 NYSE Arb. Dec. LEXIS 242 (Jan. 16, 1998) (award of damages for investor losses, complied with recovery of investor’s costs and attorneys fees).

  9. Robb, Peck, McCooey Clearing Corporation v. Robert Grey, et al., 1994 NYSE Arb. Dec. LEXIS 645 (Nov. 13, 1995) (recovery of losses sustained by brokerage firm through fraudulent activities of a customer representative, along with successful defense of counterclaims).

  10. Olivia Burnette v. Martin Vulliez and Robb, Peck, McCooey Clearing Corp., et al. 1998 NASD Arb. LEXIS 724 (Sept. 7, 1999) (successful defense of customer’s claim of fraud, unsuitability and unauthorized trading).

  11. Sylvia Dudock v Spencer Trask Securities Corp., et. al., 1998 NASD Arb. LEXIS 323 (Nov. 6, 1998) (successful defense of customer claims of unsuitability and unauthorized trading).

  12. Stephen P. Cohen v. First Albany Corp., et al., 1999 NASD Arb. LEXIS 457 (Aug. 6, 1999) (successful defense of executive compensation claim).

  13. Gerhard and Monika Pohl v. Reich & Co, et al., 1997 NASD Arb. LEXIS 1381 (Dec. 24, 1997) (successful defense of customer claim of unsuitability and unauthorized trading).

  14. Irene K. Palen v. Fahnestock & Co., Inc., et al., 1995 NASD Arb. LEXIS 111 (Jan. 13, 1995) (successful defense of customer claim of unsuitability and unauthorized trading).

  15. Rockwell Trading Co. v. Fahnestock & Co., Inc., NASD Arbitration No 94-00191 (1994) (successful defense of introducing firm’s claim against clearing firm for liquidation of securities collateral).

 

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