AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Gary and Sherrie Harden and 01-04470 Troy, Michigan Prudential Securities, Inc. First Union Securities, Inc. and Donald J. Rentz Jr. REPRESENTATION OF PARTIES Claimants, Gary and Sherrie Harden ("Claimants") were represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Respondent, Prudential Securities, Inc. ("Prudential") was represented by Brian F. McD

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllliam Finkelstein and Mollie Finkelstein v Prudential Securities, Neil J. Lerner and Robert H. Blackman Attorneys: For Ctoimant(s): William and Mollie Finkelstein - East Brunswick. NJ For Respondenl(s): Davto B. Gorfinkel Esq. - New York, NY Date Filed: 06/21/1995 First Sctieduled: 11/15/1995 Decided: 01/17/1996 Case Summary: claimants allege that Respondents misle

New York Stocit Exciiange In tlie Matter of Arbitration Between NYSE Case: Henry V. ICaelber v. Ktoder Peabody & Co. Inc. Attorneys: For Clainianl(s): Leonard B. Pack Esq. - New York, NY Fbr Respondents): Shelto A. Chervin Esq. - New York, NY Date Filed: os/i2/1995 First Sctieduled: 02/21/1996 Decided: 8-20-1996 Case Summary: Claimant alleges the firm failed to pay him an adequate bonus and severance pay in breach of his emptoyment a

Sew York Stock Exchange In the Matter of Arbitration Between NYSE: Case: Leonwd R. SmWt. Bora M. SmiAi and Spodafey Waldws and Fabncamrs, Inc. v Merrill. Lynch. Pfarse. Fanner « Smilh, fciriwiiniMuU Atlorneys: ForCtani«i44: Mked E. Clewaiend Esq. - FayellMila. NC L Bruse McOanW Esq. - Ralrigh, NC ror naspanQar^sy. J. Anttmy Penry Esq. - Rataioti. NO Samuel A. Turvey Esq. - New York, NY Date Filed: osns/ieas Rrst Scheduled: 03Ai2/i99e

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lance W. Shietos, Lashco, Inc., & LCO Trading, L.P. v. Hull b'ading Co., Elecb-onto Execution Services and Mannn RMer Attorneys: Fbr Claimanl(s): Lance W. Shietos - Mtohigan City, IN For Respondent(s): Theodore E. Herman Esq. - Chtoago, IL Date Filed: O6/07/1995 First Scheduled: 11/21/199«^/' Decided: Case Summary: Former allied member, member tirm, and non-membe

New York Stock Exchange In the Matter of Arbitration Between ./ ,/ 6/ NYSE Case: Golden Discovery S.A. vs. Oppenheimer & Co., Inc. Attorneys: For ClainiBra(s): Lawrence M. Philips Esq. - New York, NY Fbr Respondents): Michelle A. Murphy Esq. - New York, |ylY Date Filed: 061^3/1995 First Scheduled: 11^1/1995 Decided: 11/18/1996 Case Summary: Customer vs. Member Firm and Registered Reps alleging unauthorized transfer of hinds from

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: O.C.A. Grantor Trust v. Smitii Barney Attorneys: For Clainian^s): Allan H. Applestein - South Miami, FL For Respondenlts): Unda R. Alpert Esq. - Naw York, NY Date Filed: 06/07/1995 First Sctieduled: 02/06/i996 Decided: 4/22/96 Case Summary: Claimant alleges unsuitable purchase of 10,000 shares of ATRED as opposed to a purchase of Telecom Argentina. Respondent fUe

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alan H. Cohen v Donaklson, Lufkin & Jenrette Securities Corporation Attorneys: Fbr Ciainnnt(s): James H. Neale Esq. - New York, NY Fbr Respondenl(s): Stuart H. Bompey Esq. - New York, NY George C. Whipple Esq. - New York, NY Date Filed: 06A}2/I995 First Sctieduled: 02/21/1996 Decided: 05/07/1996 Case Summary: claimant, a high yiekf bond trader, sought damages of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Celauro v. Bear, Stearns & Co. Inc. and Karen Brantseg Attorneys: f=or Claimant(s): John E Lawlor Esq. - Garden City, NY For Respondent(s): Daniel Taub Esq. - New York, NY Date Filed: 06/O8/1995 First Sctieduled: 12/20/1995 Decided: April 18, 1996 Case Summary: Claimant alleges the broker executed an unauthorized trade in Broadband Technokigies, Inc.

1/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Patricia Anjesky v. Josephthal Lyon & Ross, Inc. v. Carlo D'Alello Attorneys: For Claimant(s): Stephen M. Perry Esq. - Boston, MA For Respondent(s): Brian Neville Esq. - New York, NY Date Filed: 06/07/1995 First Sctieduled: 01/24/1995 Decided: 03/26/1996 Case Summary: claimant, a public customer, alleges conversion, theft of funds, breach of contract, and viol