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Krieger
Aosociate General Counsel
The chicaooeurd
irk LaSalle et Van Buren
Exchange Chicago, Hanoi, 80505 312 786-7488
FMK/gp
STORCII & BRENNER
N. W.
LOCl/ CO2414113CTICUT AVENVE,
WASHINOTCM, D. C. 20036
MOM 4041-0000
TZLEX s3cusacio
Ill!, TELEFAX
Paul E. Dengel, Esq.
Schiff, Hardin & Waite
7200 Sears Tower
233 South Wacker Drive
Chicago, Illinois 60606
oel F. B v nner
JFB/pkt
frmt:dengel.ltr
June 3, 1988
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JUN.03 'Ea 15:09 SCHIFF HARDIN & WAITE P.03
those trades never took place. OCC and CBOB each have specified, but different,
self-regulatory responsibilities . under the law, The discharge of those responsibilities
is not dependent on whether 000 complies with your demand. insofar as our firm is
concerned, we are lawyers who receive specific assignments from our clients from time
to time, and our responsibilities do not include investigation of your personal aUVicions
concerning the behavior of third parties.
Sincerely,
Paul E. Dengel
(202) 452-0900
TELEX 201250
June 7, 1988
VIA TELEFAX
of NASD, dated May 9, 1988 stating that "it would be unwise for
defendants to engage in disputes among themselves at this stage
of the proceeding regarding indemnification rights." We do not
believe that a jury will ignore such evidence.
Schiff Hardin & Waite has obvious conflicts of interest
between itself and each of its clients, who themselves have
conflicting interests. Ordinarily such conflicts would be no
concern of ours. Here, however, where the conflicts appear to
Joel F. Brenner
JFB/pkt
Enclosures
Law ()Hi co
To: 2100-1
From: Mark A. Cymrot C4f4(
Date: January 17, 1989
Subject: Lawrence v. Bear Stearns
-2-
-3-
-4-
I told Mr. Dengel that we would analyze what he had said and
get back to him.
cc: Steve Lawrence
Roger Colaizzi
STATEMENT BY THE OPTIONS cLzARTNG conrommIN
' AND ciacAao BDA ,D OPTIONS EXCHAN04,'INC.
Home Address
11 Island Avenue
Apt. #1204
Miami Beach, FL 33139
VITAE
Background
The Pomefohoe Prize for Excellence in the Area of Options Resedfch was established
Decemoe. 1976 in reco9nIton of Leon Porheronce's irnfreosuroble COntribUtiOn tO t*.
creation and development of the Chicago Soora Options Exchange. One of the wolbs
foremost outhorities on 00, 10r5 S. Mt POrneOnCe served since Peon1drv.1472 on the fOundihg
Bacro of Directors ono from jonvoty,1474 to December. 1Q76 as itS ChaInnon
Award
An Qwaro of S1. J) in cash will be given onnuo!ly ay the Choopo Board Options Excnonde
for rite most autstoncitng cornoietea stuay on :re market fcc elChOnce-tracSeal crotions
Topic
he stvc;./ must hove as its subject the market fry exchonae-tradea actions Studies
-
suorritte,p fpf the awcro troy deo' With any csceCt of t!" ..e market for exchonge-'tobest
options in :ne fljtvre. the exchange Moy onncunce C SpeCifIC ootons tesedt9 - aac
for which the ct,woro wtit gve.n
COLE CORETTE a ABRUTYN TO 12129:5:588 P.04
Eligibility
t\Arr,bet, 5 of th•?. 000e9mie dne fin-n -'i'l cornr -nunify, and ,7",•!he .r119/e3teC1 idrvidtjc 15 ofe
iriv,id .o st_ibrnIt oOli iior and stu44,:es tEscthivr? ,7:ans,aefal ,ry-, a sl ■ jav cc
ff-v? n-lockef fin( exCnOnqc.‘ 40de..7./ Ci1Of ,Onii 5 1, )•:.".95 rriOy Of Or)? le , th
Inatviavol; who ofe eror_t,foyeesC roetTit:;.,Fis of fhe °•ot -2g? ?..t-:!-Yri Exchf:3fge
ofe f-torninees of rn.q..rnt4 , Cvq0nric,31•cen5 arc? not Optio In ed,Ititicri, 51 ,,Khe.s which hove
been r,utolished Or1e 0 Decernte , . 1Q7' are 1'0 1 efigt 19
Review
SluCres suhrhilleC, tOr thi? ("wCro will 17,:• A,E,...&■,Jalc,,,ci 17)y !he Porrierchce Prize r:e,view comrn t nee
-
Ths.Cammlite..ewill cons. 5tf rnernb..e.r ,s cet the ocaaen-w: cornrl,unitv wotlexperitse inIhe
fieltJ of ocqlOhs end rn ,:?rnbefs of the Exchange
Deadline
Apr,haolions cr0 subrn , ssions for the °wore)
teceivej y SePlembef 30. 17.;'80
Announcement
ihe tcs.c.iolent (74 Ile 0,,,ord w ill be onnbunceb in December. 1980
4 tc Dates t ubseavgrd en./C1 OwOrds will be OnnrrAinCerect at !hot time.
Publication
A' :tS discealic•,..t • 11 ChICoo kY3Ifj reserves the right to publish ona
oistott.,. • ,!cf e nix 4,2ef rf cc.17,r.=.sf ttlp 51t}triY Ot a SUmmOry Of Or exceffofSrfOrn
the SlUdY 10 the ExCh0t )Qe rhPrrtefship arc, of her interestedc.tivicluols
Past Awards
- pecte.5,74 1eet.e9., tje ■ Iversitv Tests of Mork& Effioiend:y of the Chloog0
Board Options Exchorve.
TOTAL P.n4