AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant PNC Investments LLC vs. Case Number: 06-03211 Hearing Site: Cincinnati, Ohio Name of Respondent Jeffrey Thomas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES PNC Investments LLC ("Claimant") was represented by Matthew J. Morelli, Esq., Ulmer & Berne LLP, Cleveland, Ohio. Jeffrey Thomas ("Respondent") did not appe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. vs. Case Number: 06-00691 Hearing Site: Kansas City, Missouri Name of Respondent Gary P. Dennington NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. ("Claimant") was represented by Erin A. Row

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Laura Latham, Guardian for Jessica Latham Until Majority 07/18/08 vs. Case Number: 05-06334 Hearing Site: Chicago, Illinois Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Laura Latham, Guardian for Jessica Latham Until Majority 07/18/08 ("Claimant") was represented by Paul

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Lisa F. Cassady vs. Case No. 99-03334 Name of Respondents Robert Frank Toth Craig Michael Biddick Todd Steven Feinstein Centex Securities Corporation REPRESENTATION OF PARTIES Claimant, Lisa F. Cassady, hereinafter referred to as "Claimant": M. David Sayid, Esq., Sayid & Associates, New York, New York Respondents, Centex Securities Corpo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lawrence Mason, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 00-01107 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Lawrence Mason ("Mason"), hereinafter referred to as "Claimant": Robert G. Heim, Meyers & Heim LLP, New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), hereinaf

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jeremy S. Eaton vs. Case Number: 05-05009 Hearing Site: Chicago, Illinois Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc., Timothy J. Cunningham, and Jeffrey A. Zimmer NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Jeremy S. Eaton ("Claimant") was represented by John J. Muld

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Willis Preece and Nina Preece vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 05-04744 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Willis Preece and Nina Preece ("Claimants") were represented by Charles C. Hunter, Esq., Woska & Hayes, LLP, Houston, T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregory Williams, (Claimant) vs. Deutsche Bank Securities, Inc., (Respondent) Case Number: 99-05097 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gregory Williams, hereinafter referred to as "Claimant": James D. Esseks, Esq., Vladeck, Waldman, Elias & Engelhard, P.C., New York, NY. Respondent, Deutsche Bank Securities, Inc., hereinafter referred to as "R

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03895 Dorothea Rosasco and Louis Rosasco, claimants vs. Prudential Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, New York, NY. For Respondent Prudential Securities, Inc., appeared in-house counsel, Mary LaManna Ulrich, Esq., New York, NY. DATE FILED: August 6, 1997 CASE SUMMARY: Claimants alleged that respondent overcharged them with

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edwin J., and Marilyn A. Reichman (Claimants) v. Brookstreet Securities Corporation, Sean Mescall and Brian Keith Martinsen (Respondents) Case Number: 06-03088 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Edwin J. and Marilyn A. Reichman hereinafter referred to as "Claimants" appeared pro s