Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey D. Korzenik (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-05046 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jeffrey D. Korzenik hereinafter referred to as "Claimant": Stacy Nakasian, Esq., and Robert M. Duffy, Esq., Duffy, Sweeny & Scott, Ltd., Providence, Rl. Prev

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pruco Securities, LLC, Prudential Insurance Company of America, and Prudential Insurance Brokerage, Inc. (Claimants) v. Bryan R. Ardite (Respondent) Case Number: 05-04990 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Members and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Pruco Securities, LLC ("Pruco"), Prudential Insurance Company of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mitchell Slater (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Fickinger (Respondents) Case Number: 05-04072 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Mitchell Slater hereinafter referred to as "Claimant": Brian J. Neville, Esq., Law Offices of Brian J. Nevi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stuart Fromm (Claimant) vs. ING Funds Distributor, LLC, Lauren Bensinger, Robert J. Boulware, Bayard Closser, John Heilner and Richard Jiminez (Respondents) Case Number: 05-03426 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Stuart Fromm hereinafter referred to as "Claimant": Kenneth A.

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 "