You also
have to be employed by a member of the Stock Exchange, which Hutton &
Co. was, but Hutton Group wasn't, and of course Hutton Trust wasn't.
The form had a part the applicant was supposed to fill in, with name,
address, employer's name and address, and recent employment history in
it, and then there was a part the employer was supposed to fill in and
sign; above where the applicant was supposed to sign it recited, among
other things, that the applicant agreed to binding arbitration, under
the NYSE rules, of any dispute between the applicant and the employer.
5: Paragraph 23 The instructions said fill it in in black ink and
print, and we couldn't find a black pen anywhere at Hutton Trust, so
Abbes told me to fill it in in blue ink and then make a photocopy and
sign that as the original; he also told me to fill in the part he was
supposed to do, and when I said the employer was supposed to do that
part, he said he was doing it, by having his employee (me) do it, and he
was right, so I did. I made the photocopy, and he and I signed it, then
I sent it to Hutton in New York.
5: Paragraph 24 After I filed suit, Hutton moved to dismiss on the
grounds that I'd agreed to binding arbitration, and they submitted a
copy of the U-4 they'd sent to the securities authorities when they
registered me.
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