Arbitrator Disclosure Report for Meyer & Associates

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ARBITRATOR DISCLOSURE REPORT

Arbitrator information last amended on 2/11/2000

Arbitrator ID: A14609
Arbitrator Name: Mr. Joseph E. Meyer
Industry/Public: Industry Arbitrator

SKILLS IN CONTROVERSY

SKILLS IN SECURITIES

Account Related - Failure to Supervise
Account Related - Breach of Contract
Account Related - Collection
Account Related - Dividends
Account Related - Errors-charges
Account Related - Exchanges
Account Related - Margin Calls
Account Related - Negligence
Account Related - Other
Account Related - Transfer
Employment - Breach of Contract
Employment - Commissions
Employment - Compensation
Employment - Other
Employment - Partnerships
Employment - Promissory Notes
Employment - Sexual Harassment
Employment - Training Contracts
Employment - Wrongful Termination
Employment - Disc. National Origin
Employment - Disc. Race
Employment - Discrimination Age
Employment - Discrimination Disability
Employment - Discrimination Gender
Employment - Discrimination Religion
Employment - Discrimination Sexual Pref.
Employment - Employment Discrimination
Employment - Libel or Slander
Employment - Libel or Slander on Form U-5
Executions - Execution Price
Executions - Failure to Execute
Executions - Incorrect Quantity
Executions - Limit v. Market Order
Executions - Other
Fraudulent Activity - Omission of Facts
Fraudulent Activity - Breach of Fiduciary Dt.
Fraudulent Activity - Churning
Fraudulent Activity - Manipulation
Fraudulent Activity - Misrepresentation
Fraudulent Activity - Other
Fraudulent Activity - Suitability
Fraudulent Activity - Unauthorized Trading
Other - Clearing Disputes
Other - Defamation
Other - Indemnification
Other - Other
Other - Raiding Disputes
Other - Underwriting
Trading Disputes - Buy in
Trading Disputes - DK's
Trading Disputes - Manipulation
Trading Disputes - Mark-ups
Trading Disputes - Other
Trading Disputes - Sell outs
Trading Disputes - Stock Loans
Trading Disputes - Transfers

Annuities
Commodities Futures
Common Stock
Corporate Bonds
Fanny Mae
Freddie Macs
Ginnie Maes
Government Securities
Limited Partnerships
Municipal Bond Funds
Municipal Bonds
Mutual Funds
Options
Other types of securities
Preferred Stock
Real Estate Investment Trust
Repurchase Agreements
Reverse Repurchase Agreements
Stock Index Futures
Warrants/Rights

EMPLOYMENT/EDUCATION
Begin Date	End Date	Type	Firm/School	Position/Degree
10/01/1974 01/01/1973 01/01/1967 01/01/1960 09/01/1989 01/01/1987 01/01/1980 04/01/1977 09/01/1976 06/01/1975 01/01/1974 10/01/1972 03/01/1966 08/01/1964	05/01/1975 01/01/1964 01/01/1989 12/01/1986 12/01/1979 04/01/1977 09/01/1976 08/01/1974 12/01/1973 10/01/1972 03/01/1966	Education Education Education Education Employment Employment Employment Employment Employment Employment Employment Employment Employment Employment	Bankers Life Ins. Sales Inst. NYSE Reg. Rep Training Program US Army SE Signal School H. Frank Carey High School, NY Meyer & Associates Joseph E. Meyer Joseph E. Meyer Joseph E. Meyer Paine Webber Jackson & Curtis Shearson, Hayden, Stone, Inc. Merrill Lynch Edwards & Hanley Western Electric Company Lake Success Golf & Country Club	Lic. Ins. Agent Registered Rep.GRAD Commun.Speclst.GRAD Diploma President Private Investor Reg. Invst. Adv. Invst. Strategist Reg. Rep. Reg. Rep. Reg. Rep. Reg. Rep. Purchasing Dept. Assistant

TRAINING
Begin Date	End Date	Description	Certification
01/01/1996 01/01/1996 01/01/1996 01/01/1996 04/17/1996 05/08/1996 06/24/1996 08/23/1996 01/25/1997 04/01/1997 12/02/1997 12/17/1999	01/01/1996 01/01/1996 01/01/1996 01/01/1996 01/01/1997 12/02/1997 12/17/1999	Intro Securities Arbitrator Training Chairperson Securities Training Employment Law Training Participatory Arbitrator Skills Program Intro Securities Arbitrator Training Chairperson Securities Training Participatory Arbitrator Skills Program Employment Law Training Mediation Training Mediation Training Intro Securities Arbitrator Training Intro Securities Arbitrator Training	6.5 HOURS TPA 6.5 HOURS TPA 4 HOURS TPA 6.5 HOURS TPA 24 HOURS FL. Supreme Court attendance attendance

DISCLOSURE/CONFLICT INFORMATION
Type/Sub-Type	Description
Arbitrator for: Arbitrator for: Mediator for: Mediator for: Mediator for: Mediator for:	NASD Regulations, Inc. New York Stock Exchange Cert. County Court Mediator Volusia County FL. Florida Dispute Resolution Center NASD Regulations, Inc. Volusia County Mediation Service

PUBLICLY AVAILABLE AWARDS
Case ID	Case Name	Closed Date
97-05985 97-05662 96-00034 97-03153 96-02039 96-01343	James Earl Edwards II vs. Gunnallen Financial, Inc.; Bradley A. Fay; and Bert Savage Richard G. Covey and Dorothea M. Covey vs. Aragon Financial Services, Inc., Thomas Cannon & Karryn Weaver Robert L. Faxon and Glenda L. Faxon vs. Dean Witter Reynolds Inc. and Charles H. Reynolds David L. Yazak vs. Merrill Lynch, Pierce, Fenner & Smith, Inc, and Walter Stucker Carl Schramm vs. Bradley Taylor and Chatfield Dean & Co., vs. Sanford Earl Williams John P. Arciero vs. Sterling-Foster & Co., Inc., Claudia Silver, Anthony Muratore and Bear Stearns Securities Corp.	12/17/1998 11/06/1998 08/03/1998 07/02/1998 04/21/1997 03/13/1997

ARBITRATOR BACKGROUND INFORMATION

In 1972, I entered the brokerage industry as a broker/dealer trainee with Edwards & Hanley, member of the New Stock Exchange. I have been employed by the following New York Stock Exchange firms as a registered representative: Edwards & Hanley, Merrill Lynch, Pierce Fenner & Smith, Shearson, Hayden, Stone, Inc., Paine Webber, Jackson & Curtis, Inc. I have also been employed as a licensed professional insurance agent licensed in life & health, disability and annuity coverage with Bankers Life & Casualty Co. In 1976, I was a self-employed stock market investment strategist and professional equity trader. In 1980, I became a registered investment advisor, pursuant to section 208 of the Investment Advisors Act of 1940. In 1989, Meyer & Associates, a management consulting company, was formed specializing in disposition of non-performing structured assets. The firm is an approved date base contractor for the Federal Deposit Insurance Corporation and the Resolution Trust Corporation. In July 1995, Meyer & Associates reregistered as an investment advisor pursuant to section 208 of the Investment Advisors Act of 1940. Recorded 4-9-96 csd. In November, 1996, Mr. Meyer was approved as a security arbitrator with the NYSE. The office of State Court Administrator on April 24, 1997, as certified by the Florida Supreme Court, approved and certified Joseph E. Meyer as a County Mediator (certification #8568C). The NASD Regulation, Inc. approved Joseph E. Meyer as a NASD Regulation Mediator on September 23, 1997. MM98 SXP

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This page last updated on 07/27/2004