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HOUSE HEARING, 109TH CONGRESS - SELF-REGULATORY ORGANIZATIONS: EXPLORING THE NEED FOR REFORM

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Smith Barney, Incorporated, Formerly Known as E. F. Hutton & Company, Inc., a Securities Broker Dealer Incorporated in De Lehman Brothers, Incorporated, a Securities Broker Dealer Incorporated in De v. Critical Health Systems of North Carolina, Incorporated of Raleigh, North Carolina, Formerly Known as Wake Anesthesiology Associates, Incorporated Wake Anesthesiology, Incorporated Money Purchase Pension Plan, of Raleigh, North Carolina Wake Anesthesiology Profit Sharing Plan, of Raleigh, North Carolina Peter Modrow, of Raleigh, North Carolina, 212 F.3d 858, 4th Cir. (2000)

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SENATE HEARING, 109TH CONGRESS - A REVIEW OF SELF-REGULATORY ORGANIZATIONS IN THE SECURITIES MARKETS

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Fed. Sec. L. Rep. P 96,021 Margaret Mary McDonnell Murphy v. McDonnell & Co., Incorporated and the New York Stock Exchange by Robert W. Haack, President, James F. McDonnell Jr., Individually, as Trustee Under the Will of James F. McDonnell and as of the Estate of Anna M. McDonnell and Charles E. McDonnell as of the Estate of Anna M. McDonnell Plaintiffs v. The New York Stock Exchange by Robert W. Haack, 553 F.2d 292, 2d Cir. (1977)

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Spear, Leeds & Kellogg v. Central Life Assurance Company, Alexander Hamilton Life Insurance Company of America, Inc., Canada Life Assurance Co., 85 F.3d 21, 2d Cir. (1996)

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Elizabeth Simmons v. Thomas Risher Prudential-Bache Securities, Inc., 900 F.2d 255, 4th Cir. (1990)

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William J. Higgins v. Securities and Exchange Commission, New York Stock Exchange, Intervenor, 866 F.2d 47, 2d Cir. (1989)

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David M. Levine, Triple J Partners, Inc. v. Securities and Exchange Commission, 407 F.3d 178, 3rd Cir. (2005)

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Aaron Fleck v. E.F. Hutton Group, Inc., and E.F. Hutton & Co., Inc., 891 F.2d 1047, 2d Cir. (1989)

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New York Stock Exchange, Inc. v. New York, New York Hotel, LLC and New York, New York Hotel & Casino, LLC, 293 F.3d 550, 2d Cir. (2002)

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John R. D'alessio, D'Alessio Securities, Inc. v. New York Stock Exchange, Inc., Richard A. Grasso, Edward A. Kwalwasser, and Robert J. McSweeney, 258 F.3d 93, 2d Cir. (2001)

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John R. D'Alessio and D'Alessio Securities, Inc. v. Securities and Exchange Commission, 380 F.3d 112, 2d Cir. (2004)

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Fed. Sec. L. Rep. P 91,642 Greenfield, Bruce H., Individually and as a Representative of a Class of Persons Similarly Situated v. Heublein, Inc., R.J. Reynolds Industries, Inc., and R.J. Reynolds Tobacco Company. Appeal of Bruce H. Greenfield, 742 F.2d 751, 3rd Cir. (1984)

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Smith Barney v. Critical Health Sys, 4th Cir. (2000)

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Securities and Exchange Commission v. Charles Plohn & Co., and Saul Edelman and William Livingston, 448 F.2d 546, 2d Cir. (1971)

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Fed. Sec. L. Rep. P 95,796 Arthur Lipper Corporation and Arthur Lipper, III v. Securities and Exchange Commission, 547 F.2d 171, 2d Cir. (1977)

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MacLean Associates, Inc. v. Wm. M. Mercer-Meidinger-Hansen, Inc. v. Barry MacLean and Greg Darnley Barry MacLean, 952 F.2d 769, 3rd Cir. (1991)

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Mfs Securities Corp. And Marco Savarese v. New York Stock Exchange, Inc., 277 F.3d 613, 2d Cir. (2002)

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In Re Salomon Inc. Shareholders' Derivative Litigation 91 Civ. 5500 (Rrp): All Actions. Morton Weiner, Dr. Henry Housman, Laurence Housman, the Hallisey and Johnson Money Purchase Pension Trust, Norman Salsits, David Shaev, Chaim Mandelbaum, Three Bridges Investment Group, Leatrice Seinfeld, Dorothy L. Kas, Alfred Cardani, Ruby Resnik, Gregg Copenhagen, Ira Dtd 9/22/89, Thomas Lacosta, Murray Elias, Kenneth Steiner, and J. Pennock Graham, Derivative v. John H. Gutfreund, Thomas W. Strauss, and John W. Meriwether, 68 F.3d 554, 2d Cir. (1995)

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Barry Drayer v. Sidney Krasner, Leonard Miller, H. Hentz & Co., Inc. And Shearson Hayden Stone Inc., 572 F.2d 348, 2d Cir. (1978)

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L. John Jacobi and Robert Gambera, Individually, on Behalf of the Members of the American Association of Securities Representatives, and on Behalf of All Other Securities Representatives Similarly Situated v. Bache & Co., Inc., 520 F.2d 1231, 2d Cir. (1975)

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Elizabeth Simmons v. Thomas Risher Prudential-Bache Securities, Inc., 900 F.2d 255, 4th Cir. (1990)

William J. Higgins v. Securities and Exchange Commission, New York Stock Exchange, Intervenor, 866 F.2d 47, 2d Cir. (1989)

David M. Levine, Triple J Partners, Inc. v. Securities and Exchange Commission, 407 F.3d 178, 3rd Cir. (2005)

HOUSE HEARING, 109TH CONGRESS - SELF-REGULATORY ORGANIZATIONS: EXPLORING THE NEED FOR REFORM

Stewart Dalzell Financial Disclosure Report for 2010

HOUSE HEARING, 108TH CONGRESS - MARKET STRUCTURE III: THE ROLE OF THE SPECIALIST IN THE EVOLVING MODERN MARKETPLACE

HOUSE HEARING, 108TH CONGRESS - THE SEC PROPOSAL ON MARKET STRUCTURE: HOW WILL INVESTORS FARE?

Fed. Sec. L. Rep. P 91,642 Greenfield, Bruce H., Individually and as a Representative of a Class of Persons Similarly Situated v. Heublein, Inc., R.J. Reynolds Industries, Inc., and R.J. Reynolds Tobacco Company. Appeal of Bruce H. Greenfield, 742 F.2d 751, 3rd Cir. (1984)

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Securities and Exchange Commission v. Charles Plohn & Co., and Saul Edelman and William Livingston, 448 F.2d 546, 2d Cir. (1971)

SENATE HEARING, 109TH CONGRESS - A REVIEW OF SELF-REGULATORY ORGANIZATIONS IN THE SECURITIES MARKETS

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HOUSE HEARING, 109TH CONGRESS - SELF-REGULATORY ORGANIZATIONS: EXPLORING THE NEED FOR REFORM

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HOUSE HEARING, 108TH CONGRESS - MARKET STRUCTURE III: THE ROLE OF THE SPECIALIST IN THE EVOLVING MODERN MARKETPLACE

HOUSE HEARING, 108TH CONGRESS - THE SEC PROPOSAL ON MARKET STRUCTURE: HOW WILL INVESTORS FARE?

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SENATE HEARING, 109TH CONGRESS - A REVIEW OF SELF-REGULATORY ORGANIZATIONS IN THE SECURITIES MARKETS

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Spear, Leeds & Kellogg v. Central Life Assurance Company, Alexander Hamilton Life Insurance Company of America, Inc., Canada Life Assurance Co., 85 F.3d 21, 2d Cir. (1996)

Elizabeth Simmons v. Thomas Risher Prudential-Bache Securities, Inc., 900 F.2d 255, 4th Cir. (1990)

William J. Higgins v. Securities and Exchange Commission, New York Stock Exchange, Intervenor, 866 F.2d 47, 2d Cir. (1989)

David M. Levine, Triple J Partners, Inc. v. Securities and Exchange Commission, 407 F.3d 178, 3rd Cir. (2005)

Aaron Fleck v. E.F. Hutton Group, Inc., and E.F. Hutton & Co., Inc., 891 F.2d 1047, 2d Cir. (1989)

New York Stock Exchange, Inc. v. New York, New York Hotel, LLC and New York, New York Hotel & Casino, LLC, 293 F.3d 550, 2d Cir. (2002)

John R. D'alessio, D'Alessio Securities, Inc. v. New York Stock Exchange, Inc., Richard A. Grasso, Edward A. Kwalwasser, and Robert J. McSweeney, 258 F.3d 93, 2d Cir. (2001)

John R. D'Alessio and D'Alessio Securities, Inc. v. Securities and Exchange Commission, 380 F.3d 112, 2d Cir. (2004)

Fed. Sec. L. Rep. P 91,642 Greenfield, Bruce H., Individually and as a Representative of a Class of Persons Similarly Situated v. Heublein, Inc., R.J. Reynolds Industries, Inc., and R.J. Reynolds Tobacco Company. Appeal of Bruce H. Greenfield, 742 F.2d 751, 3rd Cir. (1984)

Smith Barney v. Critical Health Sys, 4th Cir. (2000)

Securities and Exchange Commission v. Charles Plohn & Co., and Saul Edelman and William Livingston, 448 F.2d 546, 2d Cir. (1971)

Fed. Sec. L. Rep. P 95,796 Arthur Lipper Corporation and Arthur Lipper, III v. Securities and Exchange Commission, 547 F.2d 171, 2d Cir. (1977)

MacLean Associates, Inc. v. Wm. M. Mercer-Meidinger-Hansen, Inc. v. Barry MacLean and Greg Darnley Barry MacLean, 952 F.2d 769, 3rd Cir. (1991)

Mfs Securities Corp. And Marco Savarese v. New York Stock Exchange, Inc., 277 F.3d 613, 2d Cir. (2002)

Barry Drayer v. Sidney Krasner, Leonard Miller, H. Hentz & Co., Inc. And Shearson Hayden Stone Inc., 572 F.2d 348, 2d Cir. (1978)

L. John Jacobi and Robert Gambera, Individually, on Behalf of the Members of the American Association of Securities Representatives, and on Behalf of All Other Securities Representatives Similarly Situated v. Bache & Co., Inc., 520 F.2d 1231, 2d Cir. (1975)

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HOUSE HEARING, 108TH CONGRESS - THE SEC PROPOSAL ON MARKET STRUCTURE: HOW WILL INVESTORS FARE?

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Elizabeth Simmons v. Thomas Risher Prudential-Bache Securities, Inc., 900 F.2d 255, 4th Cir. (1990)

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MacLean Associates, Inc. v. Wm. M. Mercer-Meidinger-Hansen, Inc. v. Barry MacLean and Greg Darnley Barry MacLean, 952 F.2d 769, 3rd Cir. (1991)

David M. Levine, Triple J Partners, Inc. v. Securities and Exchange Commission, 407 F.3d 178, 3rd Cir. (2005)

Fed. Sec. L. Rep. P 91,642 Greenfield, Bruce H., Individually and as a Representative of a Class of Persons Similarly Situated v. Heublein, Inc., R.J. Reynolds Industries, Inc., and R.J. Reynolds Tobacco Company. Appeal of Bruce H. Greenfield, 742 F.2d 751, 3rd Cir. (1984)

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Securities and Exchange Commission v. Charles Plohn & Co., and Saul Edelman and William Livingston, 448 F.2d 546, 2d Cir. (1971)

John R. D'Alessio and D'Alessio Securities, Inc. v. Securities and Exchange Commission, 380 F.3d 112, 2d Cir. (2004)

New York Stock Exchange, Inc. v. New York, New York Hotel, LLC and New York, New York Hotel & Casino, LLC, 293 F.3d 550, 2d Cir. (2002)

Mfs Securities Corp. And Marco Savarese v. New York Stock Exchange, Inc., 277 F.3d 613, 2d Cir. (2002)

John R. D'alessio, D'Alessio Securities, Inc. v. New York Stock Exchange, Inc., Richard A. Grasso, Edward A. Kwalwasser, and Robert J. McSweeney, 258 F.3d 93, 2d Cir. (2001)

Spear, Leeds & Kellogg v. Central Life Assurance Company, Alexander Hamilton Life Insurance Company of America, Inc., Canada Life Assurance Co., 85 F.3d 21, 2d Cir. (1996)

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Fed. Sec. L. Rep. P 95,796 Arthur Lipper Corporation and Arthur Lipper, III v. Securities and Exchange Commission, 547 F.2d 171, 2d Cir. (1977)

Fed. Sec. L. Rep. P 94,948 United States of America v. Alan C. Solomon, 509 F.2d 863, 2d Cir. (1975)