Figure 1 Annual SRO / Dean Witter Reynolds Inc. / NASD Regulation Inc / See George Watts & Son Inc. / SECURITIES DEALERS INC. / SRO ARBITRATIONS 6 SRO / New York Stock Exchange / OVERVIEW OF SRO / Continental Casualty Co. / Piper Jaffray Inc. / Shearson Lehman Brothers Inc. / Current SRO / NASD Dispute Resolution Inc. / Chicago Inc. / See Commonwealth Coatings Corp. / Shearson/American Express Inc. / Mercury Construction Corp. / Tiffany & Co. / /
Country
United States / /
Event
Company Expansion / Person Communication and Meetings / M&A / /
Facility
Moses H. Cone Memorial Hospital / United States District Court / University School / /
IndustryTerm
owned subsidiary / arbitration services / /
Organization
United States District Court for the Northern District of California / United States Supreme Court / California legislature / Moses H. Cone Memorial Hospital / Securities Industry Association / Columbia Law School Associate Professor St. John’s University School of Law / Public Investors Arbitration Bar Association / Judicial Council of California / Judicial Council / Federal Reserve / NATIONAL ASSOCIATION OF SECURITIES DEALERS / Securities and Exchange Commission / Exchange / /
Person
Marc I. Steinberg / St. John / Jill I. Gross / Barbara Black / Bruce M. Selya / Deborah R. Hensler / Steven Shavell / Michael A. Perino / /
REPORT TO THE SECURITIES AND EXCHANGE COMMISSION REGARDING ARBITRATOR CONFLICT DISCLOSURE REQUIREMENTS IN NASD AND NYSE SECURITIES ARBITRATIONS Michael A. Perino Visiting Professor