N€w York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Bear, Stearns & Co., Inc. Attorneys:. For Clainwit(s): Denis J. McCarttiy Esq. - Naw York, NY For Respondent(s): Daniel Taub Esq. - New York, NY Date Filed: 04/22/94 First Scheduled: 04/06/95 Decided: 04/06/95 Case Summary: in December of 1990 claimant entered into a Securities Lending Agreement with respondent wfiereby claimant

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Estate of Radnor J. Paquette and Estate of Kathryn C. Paquette By Julto Paquette Smith. Personal Representative of each Estate V Prudential Securities, Inc. Attorneys: For ClainHni(s): Daniel C. Perri Esq. - Shallmar, FL For Respondent(s): Robert Brunton Esq. - /Mtonla. GA Date Filed: 04/21/94 First Scheduled: 11/09/94 Decided: 04A)7/95 Case Summary: Claimant all

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gruntal & Co.. Inc. v. Mark Pompeo Attorneys: For Clainianl(s): Richard I. Janvey - New York, NY Fbr Respondents): Hartond L. Smith Esq. - Franklin, MA Date Filed: 04/19/94 First Scheduled: 09/09/94 Decided: 3/2/95 Case Summary: Claimant alleges breach of employment agreement and non-payment of promissory note. Product: PROMISSORY NOTE Market: Claim Data Awar

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Vlnlng Sparks IBG v Prudential Securities Incorporated Attorneys: For Clainiant(s): Kennetti H. King Esq. - Nashvilto, TN Marsha Levick Esq. - Paoli, PA For Respondent(s): Thomas (Dampbell Esq. - New York, NY Date Filed: 03/01/94 First Scheduled: 02/13/95 Decided: 05/17/95 Case Summary: claimant makes alleges that Respondent rakled its firm and unfairly competed

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Imogene Willis Palmerio Names of the Respondents Dreyfus Service Corporation and Walter Blankenhorn Case Number: 01-04525 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Imogene Willis Palmerio, hereinafter referred to as "Claimant": Richard B. Warren, Esq., Kelley & Warren, P.A., West Palm Beach, Florida. For Dreyfus Service Corporation ("Dreyf

l/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robb, Peck, McCooey Clearing Corporation v Robert Grey, Sol Kamen and Sol Kamen P.C. Pension Plan Trust Attorneys: For Clain»nl(s): George Brunelto Esq. - New York, NY For Respondent(s): Robert Grey - Bellerose, NY David E. Robbins Esq. - New York, NY Date Filed: 02/10/94 First Scheduled: 05/23/95 Decided: 11/13/95 Case Summary: Claimant, a member firm, ha

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudenttol Securities Incorporated v. Rudy Straub Attorneys :- For Ctoimanl(s): Steven Gomberg Esq. - Chtoago, IL For Respondent(s): Rudy Straub - Chicago, IL Date Filed: 02/15/94 First Scheduled: 04/27/95 Decided: ^l^^b^ Case Summary: Claimant alleges that it entered into a FAIT Agreement with respondent in which respondent agreed to reimburse the member firm

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney Shearson v Jonathan Gare Attorneys: For Ctonnant(s): John M. Megyesi - New York, NY For Respondent(s): Jonathan Gare - Cranburg, NJ Date Filed: 02/07/94 Case Summary: Claimant, a member firm, First Sctieduled: 11/10/94 alleged that respondent failed to repay money Product: due Decided: 06/15/95 on a promisosory note. Marke

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: The Estate of Donald Scott Thomas and Jane Holt Thomas v. Prudential Securities. Inc. Attorneys;. f^r Clainiant(s): Michael Thompson Esq. - Austin, TX For Respondent(s): Robert Wright Esq. - Dallas, TX Date Filed: 02/04/94 First Sctieduled: 09/27/94 Decided: 5-9-95 Case Summary: Claimants allege that Respondent violated the "Know Your Customer" ruto, the Texas De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sylvia Baccaro, individually and on behalf of the Sylvia Baccaro IRA, Claimant v. Financial West Group and Craig William Woznick, Respondents Case Number: 01-04517 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Dennis R. Villavicencio, Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondents: Randall A. Miller, Esq. Sedgwick, De