02/11/2004 15:28 FAX NASD 1010/016 STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jalal K, Farida and Names of Respondent i Prudential Securities,' Inc., Marvin Zucker, and Sandy M. Farida t Case Number 01-04721 'Hearing Site: Detroit, Michigan REPRESENTATION Of PARTIES Jaial K. Farida ("Claimant") was represented by Anthony V. Trogan, Esq., Anthony V. Trogan

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brothers, Inc. v Radcliffe Bent Attorneys: For Claimant(s): Kevin B. LeBlang Esq. - New York, NY For Respondent(s): Radcliffe Bent - Iselin, NJ Date Filed: 12/01/09 First Scheduled: 09/13/94 Decided: 12/05/94 Case Summary: claimant, a member firm, has alleged that respondent breached his agreement by failing to repay balance of a promissory note. Product

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Russell John Taylor and Richard Alway Taylor v Douglas E. Lindsay and Smith Barney Shearson Attorneys: (=dr Claimiant(s): Russell John Taylor - Lake Oswego, OR For Respondent(s): Linda R. Alport Esq. - New York, NY Date Filed: 10/15/93 First Scheduled: 04/05/94 Decided: 09/19/94 Case Summary: customers v member firm and registered representative alleging unsuitable s

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: BIII StangKn and Wanda StangUn v Otoe Discount Corporatnn Attorneys: For Claiiinrt(s): John E. Dees, Jr. Esq. - Dallas, TX Fbr Respondent(s): Julie D. Reed Esq. - Detroit, Ml Date Filed: 12/03/93 First Scheduled: 08/11/94 Decided: 10/31/94 Case Summary: claimants allege they were unsophistkated investors with a conservative investment objective and that they relied o

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Baron H.S. Strouth, Trustee of The Weingueter Baron K.S. von Strauss Erben Trust v. Dean Witter ReynoMs Inc. Attorneys: For ClaimanKs): Baron H.S. Strouth - Marbella, Spain, Fbr Respondent(s): Edward Larkin Esq. - New York, NY Annemarie P. McAvoy Esq. - New York, NY Date Filed: 09/27/93 First Scheduled: 04/19/94 Decided: 06/15/94 Case Summary: claimant, a puUn cu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alfons Sperber and Roslyn Bierig Sperber v. Prudential Securities, Inc. Attorneys: For Claimant(s): Alfons Sperber - Flushing, NY For Respondent(s): Gerard J. Kowalski Esq. - New York, NY Date Filed: 10/21/93 First Scheduled: 03/25/94 Decided: 03/25/94 Case Summary: Customers, public customers, allege respondent, a member firm induced claimants to purchase shares of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph M. Leone v Furman Selz, Inc. Attorneys: For Clajmant(s): Gerald D. Fischer Esq. - New York, NY For Respondent(s): John E. Kiley Esq. - New York, NY Date Filed: 11/01/93 Case Summary: Claimant, a regarding the working conditions. First Scheduled: 04/21/94 Decided: 6/20/94 former employee, alleged that he was fraudulently induced to join responde

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Andrew Pisani v Shearson Lehman Brotfiers Attorneys: For Claimanl(s): Robert S. PortegeHo Esq - New York, NY For Respondenl(s): Ann Parry Esq - New York, NY Date Filed: 11/08/93 First Scheduled: 02/O8/94 Decided: 10/25/94 Case Summary: claimant, a pubKc customer alleges his account executive failed to disckise complete informatnn with respect to tha purchase of w

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert B. Lutz v Merrill Lynch, Pierce, Fenner & Smith, Inc. and Davkl J. Swearingen Attorneys: For Claimant(s): Robert E. Wood Esq. - Dallas, TX For Respondent(8): John K. Shannon, Jr. Esq. - New York, NY Date Filed: 10/11/93 First Scheduled: 07/05/94 Decided: 07/15/94 Case Summary: Claimant alleges that Registered Representative misrepresented and recommended an un

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brotfiers, Inc. v Thomas Fitzmaurk» Attorneys: For Clainiant(8): Craig J. Donahue Esq. - Dallas, TX For Re8pondent(s): Wayne T. Arceneaux Esq. - Addison, TX Date Filed: 10/12/93 First Scheduled: 05/12/94 Decided: 07/06^4 Case Summary: Claimant alleges Respondent failed to repay a promissory note upon his terminatnn of employment with Claimant. Produc