Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karlin Investment Corporation, Timboom Limited, and Evenstone Limited (Claimants) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. Case Number: 01 -04551 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimant Karlin Investment Corporation ("Karlin"), Timboom Limited ("Timboom"), and Evenstone Limited ("E

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Richard L. Weissberg v Merrill Lynch, John Olson, Dennis O'Leary, Sal Campione and John West Attorneys: For Clainiant(s): Richard L. Weissberg - New York, NY For Respondent(s): Charles L. Henderson Esq. - New York, NY Date Filed: 10/13/94 First Sctieduled: 07/10/95 Oecided: 07/10/95 Case Summary: claimant alleges ttiat Respondents mishandled his mottier's inves

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllliam and Nancy Hoverman v. Barclay Perry, David James and Kidder, Peabody & Co., Inc. Attorneys: For Claimant(s): William O. Hoverman - Lancaster, CA Fbr Respondent(s): William H. Phelps Esq. - Los Angeles, CA Date Filed: 11/29/94 First Sctieduled: Oecided: G/i< j N s Case Summary: claimants, putilk: customers, allege Respondents mismanaged their account by

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Delphlne H. Clabaugh and Rtehard W. Clabaugh v. Thomas FItsimones and PaineWebber Incorporated Attorneys: - For Claimant(s): Delphine H. Clabaugh - Torrance, CA Fbr Respondent(s): Thomas Fitsimones - Weehawken, NJ Joseph F. Genereifi Esq. - Weehawken, NJ Date Filed: 11/18/94 First Sctieduled: 04/17/95 Case Summary: Claimants, public customers, allege respondents, a membo

i New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Antoinette and Alfred Cichetto vs. Smtth Bamey Shearson, Richard Carlin & Glenn E. Pels Attorneys: For Clainiant(s): Robin B. Shore Esq. - Philadelphia, PA Fbr Respondent(s): Atojandro Schwed Esq. - New York, NY Date Filed: 11/30/94 First Scheduled: os/os/ss Oecided: 10/30/95 Case Summary: Customers vs. Member Firm and Registered Reps alleging an unsuttable inv

y / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael A. Sherman vs. Prudential Securities, Inc. Attorneys: |=br ClBJnnnl(s): Jerome L. Froimson Esq. - Phoenix, AZ For Respondert(s): /Andrew D. Hunwttz Esq. - Phoenix, AZ Date Filed: 11/28/94 First Sctieduled: 03/i5«5 Decided: employers and clients. Claimant alleges ttie false remarits were made to gain an unfair business advantage over accounts.

y ^ew York Stock Exchange in the Matter of Arbitration Between Case: Slmon Katz v. Herzog Heine Geduld Attorneys: For Claimant(s): Simon Kau - Rockaway Park, NY For Respondent's): Lewis H. Rosenbaum Esq. - New York, NY NYSE Date Filed: 11/11/94 First Sctieduled: 09/06/95 Decided: 9/5/95 Case Summary: Claimant alleges that firm permitted an illegal option trade ttiereby, causing him to incur a toss. Product: OPT Market: Ci

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Raul Artal and Mk:hal Artal, Indivklually and as Trustees v Prudential Securities, Inc. Attorneys: For Clainnnt(s): Edward Newman Esq. - Carle Place, NY Fbr Respondent(s): William M. Cassarini Esq. - New Yoric, NY Date Filed: 11/07/94 First Sctieduled: 07/06/95 Oecided: 08/24/95 Case Summary: Claimants allege that Respondents sokl out their account wittiout per

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Paul Jokelson v Smith Barney Shearson, Inc. Attorneys;. For Clainianl(s): Paul Jokelson - Scarsdale, NY For Respondenl(s): Linda R. Alpert Esq. - New York, NY Date Filed: 11/18/94 First Sctieduled: 03/09/95 Oecided: 03/09/95 Case Summary: claimant, a customer, has alleged that respondent misrepresented that due dates on Federal Home Loan Mortgage tmnds. Product

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /\dvest vs. J. Brian Collins /\dvest vs. J. Brian Collins Attorneys: For Claimant(s): Barry J. Kronemer - Hartford, CT For RespondenKs): Brian Collins - West Palm Beach, FL Date Filed: 11/14/94 First Sctieduled: os/i5/95 Decided: O6/15/95 Case Summary: claimant alleges breach of employment agreement and non-payment of promissory note which secured k>an agai