Home/

Arbitration Decision Number: 2002-010843

New York Stock Exchange

In the matter of Arbitration Between:
Patricia Thomma v. Salomon Smith Barney, Inc.

Attorneys:

For Claimant(s):
Michael Ira Asen Esq. - New York, NY

For Respondent(s):
Joseph Sack Esq. - New York, NY

Date Filed: 04/29/2002

First Scheduled: 02/24/2003

Decided: 03/10/2003

Case Summary:  Customer v. member firm alleges unauthorized investment activity. Claimant seeks monetary compensation in the amount of $80K.

Product:

Market:

Claim Data
	Claim
Claim:	$80,000.00
Punitive:	$0.00
Atty Fees:	$0.00
Deposit:	$500.00

Award Data
	Award
Award:	$0.00
Punitive:	$0.00
Atty Fees:	$0.00
Costs:	$0.00

Forum Fees: $3,500.00

Case:	Patricia Thomma v. Salomon Smith Barney, Inc.
Docket:	2002-010843

Decision:  The undersigned arbitrator(s) have decided and determined that in full and final settlement of all claims between the parties that:

The undersigned arbitrators have decided and determined in full and final settlement of all claims between the parties that:

The Statement of Claim is dismissed.  Forum fees to be divided equally - each party to pay $1,750.00.

Remarks:

The undersigned arbitrators hereby affirm that they have executed this instrument which is their award:

Arbitrators: (D=Dissents)	Signatures:
Edward Baer Paul S. Biederman Kevin J Hughes

City: New York

State: NY

Date: 03/10/2003

Docket#: 2002-010843

Sessions: 7

Hearing Dates:

02/24/2003 (2)
02/28/2003 (2)
03/10/2003 (3)