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In The News

2003 Articles
Date: 10/24/2003
TheStreet.com
NYSE Takes It on the Chin in WorldCom Broker Hearing

Date: 10/24/2003
The New York Law Journal
Bank Negligent for Allowing Destruction of E-Mail Evidence

Date: 10/23/2003
Bloomberg
UBS Was 'Grossly Negligent' for Not Saving Tapes, Judge Says

Date: 10/23/2003
REGISTERED REP.
Spartis Cleared in Failure to Cooperate Charge

Date: 10/1/2003
On Wall Street
Sawtelle Wins Third Round in Waddell Case

Date: 9/17/2003
REGISTERED REP.
NASD to Sawtelle: You Still Get $25M

Date: 9/8/2003
THE WALL STREET JOURNAL
Panel Reinstates Punitive Damages Award Against Waddell

Date: 9/8/2003
THE ASSOCIATED PRESS
Waddell & Reed Ordered to Pay Ex-Broker

Date: 9/8/2003
USA TODAY
Waddell & Reed told to pay broker $25M

Date: 9/6/2003
The Kansas City Star
Waddell & Reed faces paying $25 million in damages to fired broker

Date: 9/5/2003
Reuters
Waddell & Reed to appeal $25 million award

Date: 9/3/2003
REGISTERED REP.
Two Smith Barney Reps Deny NYSE Allegations

Date: 8/26/2003
REGISTERED REP.
Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting

Date: 7/24/2003
The New York Law Journal
Electronic Discovery: N.Y. Judge Juggles Cost Criteria

Date: 6/11/2003
TimesLeader.com
Broker Sues Over His Firing

Date: 6/8/2003
The New York Times
A Company Man, Spurned, Fights for His Name

Date: 6/6/2003
ABA Journal EReport
E-Discovery Order Changing the Rules

Date: 5/28/2003
BNA's Employment Discrimination Report
UBS Ordered to Bear Expense of Producing Accessible E-Mail, Sample of Backup Tapes

Date: 5/19/2003
THE WALL STREET JOURNAL
UBS Warburg Is Ordered to Pay For Retrieval of E-Mails in Case

Date: 5/17/2003
THE NEW YORK TIMES
A Ruling Makes E-Mail Evidence More Accessible

Date: 5/14/2003
The New York Law Journal
New Standards for Cost Shifting Proposed in Electronic Discovery

Date: 5/14/2003
Wall Street Letter
New York Judge Orders Wall Street Firm Produce Emails

Date: 5/13/2003
Bloomberg
E-Mail May Be 'Smoking Gun,' Bias Case Judge Says

Date: 5/9/2003
THE WALL STREET JOURNAL
Tables Turn on Salomon Ex-Broker: Regulators Got Information from Spartis, Now NYSE Says He Failed to Help Probe

Date: 5/1/2003
ON WALL STREET
Will the Sawtelle Saga Ever End?

Date: 5/1/2003
INSTITUTIONAL INVESTOR
Vanguard takes Citi over Enron

Date: 4/24/2003
THE HOLLYWOOD REPORTER
Cablevision Sued

Date: 4/23/2003
Newsday
Ex-Chief of Security Sues Cablevision

Date: 4/4/2003
TheStreet.com
Brokers Say Investors Aren't the Only Victims

Date: 3/31/2003
Securities Week
Broker Suing Prudential For $20 Million For Stolen Book and Forgery

Date: 3/24/2003
Securities Week
Case Now on Appeal Has Potential to Open Door for Mastershares Suits Against Prudential

Date: 1/13/2003
THE WALL STREET JOURNAL
Salomon, Analyst Are Cited in Claim By Former Broker

Date: 1/6/2003
BARRON'S ONLINE
The Hardest Sell



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