Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Raio & Jeanine Raio, JT TEN (Claimant) vs. Morgan Stanley DW, Inc. & Robert David Cohen (Respondents) Case Number: 05-03015 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph Raio ("Raio") & Jeanne Raio ("J. Raio"), JT TEN hereinafter referred to as "Claimants": Robert J. Cava, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Keith W. Vass (Claimant) v. Goldman Sachs & Co., Inc. (Respondent) Case Number: 05-02500 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Keith W. Vass, hereinafter referred to as "Claimant": Rodney J. Heggy, Esq., Federman & Sherwood, Oklahoma City, OK. Respondent Goldman Sachs & Co., Inc., hereinaf

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gregory H. Herrman, (Claimant) vs. Jeffrey Jayson and Robert W. Baird & Co. (Respondents). Case Number: 99-02515 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Gregory H. Herrman ("Claimant"): William E. Owen, Esq., Herrman & Herrman, Corpus Christi, Texas. Respondents, Jeffrey Jayson and Robert W. Baird & Co., Incorporated ("Respondents): Gregory G. Wille, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Randall S. Yanker, (Claimant) vs. Swiss Bank Corporation Warburg Dillon Read LLC, (Respondent) Case Number: 00-01009 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Randall S. Yanker, hereinafter referred to as "Claimant"; David Tachau, Esq., Tachau Maddox Hovious & Dickens PLC, Louisville, KY. Previously represented by: Anthony M. Supino, Esq., Supino

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurence G. Cochrane (Claimant) vs. New England Financial, Met Life, Inc., New England Securities Corporation and C. Robert Henrickson (Respondents) Case Number: 04-05588 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member, Non-Members and Associated Person. REPRESENTATION OF PARTIES Claimant Laurence G. Cochrane hereinafter referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerome Carnigan & Janice Carnigan (Claimants) vs. Purshe Kaplan Sterling Investments, Peter Purcell, Dennis Colavito, and Heather Dwyer (Respondents) Case Number: 04-03353 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Jerome Carnigan & Janice Carnigan hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Mohammad Choudhry (Claimant) vs. Ehrenkrantz King Nussbaum, Inc. (Respondent) Case Number: 04-02681 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Dr. Mohammad Choudhry hereinafter referred to as "Claimant": Timothy Feil, Esq., Finkelstein & Feil, LLP, Bayshore, NY. Respondent Ehrenkrantz King Nussba

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Estate of E. Peerce Lake, William Lewis Lake and Lynda Lee Nugent, Co-Executors vs. Shearson Lehman Mutton, Inc. Claimants Respondent AWARD CASE #88-03448 CASE SUMMARY Claimant Estate of E. Peerce Lake, William Lewis Lake and Lynda Lee Nugent Co-Executors, alleged Respondent failed to timely place Claimant's securities with transfer agents and f

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arthur A. Sills Claimant(s) vs. William J. Grombala & Edward C. Maier Respondent(s) NOTICE OF ARBITRATION AWARD 88-03447 CASE SUMMARY Claimant Arthur A. Sills alleged that Respondent William J. Grombala & Edward C. Maier made an unqualified distribution of securities. Respondents maintain that Claimant has been made whole and suffered no losse

f NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. V In The Matter of The Arbitration Between vs. one/ - ru Respondents ) NASD l ) SUMMARY OF ISSUES This case was filed on (JdLsLatii. j4\OL± - —-~ m/. ..._ i a JL • V AA< L/- RjiOerYrLl.'»J~ iiJ / \-nii» '/i ra -U \tefdtsnL -nm r l ,* su- 1 c > f A / /5tJt5_ • /ULnAtnr/nt fa I fLL< -JLcL n In nh/vL W»"