EFTA00726318

FINRA Dispute Resolution 
Arbitrator ID: 
Name: 
Arbitrator ID: 
CRD #: 
City/State/Country: 
Classification: 
FINRA Mediator: 
Chair Status: 
Arbitrator Disclosure Report 
Report reflects information provided by the arbitrator through 01/15/2010 
Mr. Kevin B. Naughten 
345217 
Douglaston / NY / United States 
Non-public 
No 
None 
ARBITRATOR 
Skills in Controversy: 
There are no skills in controversy information. 
Skills in Securities: 
Common Stock, Commodities Futures, Government 
Securities, Mutual Funds, Municipal Bonds, Options. 
Preferred Stock, Repurchase Agreements, Stock Index 
Futures. Warrants/Rights 
EMPLOYMENT 
Start Date 
End Date 
Firm 
Position 
12/2008 
Present 
Unemployed 
11/1999 
12/2008 
Citibank 
Systems Analyst 
04/1999 
12/2003 
Virtus Advisors 
Consultant 
05/1997 
04/1999 
Erste Bank Securities 
Manager 
11/1995 
10/1996 
RLB-JPP Euro Securities 
Mgr. European Securities 
04/1988 
11/1995 
Bank Austria 
Mgr., Europe Sec. 
11/1977 
04/1988 
EAB 
Treasury 
05/1977 
11/1977 
EF Hutton 
Account Executive 
05/1972 
05/1977 
Merrill Lynch & Co. 
Account Executive 
01/1971 
01/1972 
Teacher in Asia 
01/1970 
01/1971 
NYC Department of Social Services 
Case Worker 
01/1969 
01/1970 
US Army 
Sergeant 7th Infantry 
Division 
01/1967 
01/1969 
NYC Department of Social Services 
Case Worker 
EDUCATION 
Start Date 
End Date 
School 
Decree 
09/1968 
01/1977 
Bernard Baruch Graduate Sch.of Business 
MBA - Finance & Investment: 
09/1963 
06/1967 
Le Moyne College 
BA - Economics 
Completed 
Description
01/2009 
Expungement - 2008 
Refresher 
03/2007 
Revised Code of 
Arbitration 
Staff ID: LeeC 
Details 
TRAINING 
Firm/School 
FINRA 
NASD 
Hours 
Location 
1 
2 
online 
Page 73 of 75 
Publicly Avarlable Awards Section. Current as of 
01/20/2010 
EFTA00726398

FINRA Dispute Resolution 
Arbitrator ID: 
12/2004 
Expungement online 
mini-course 
NASD 
1.5 
online 
06/2000 
New Panel Member 
NASD 
11 
New York, NY 
Training [NASD) 
Tyoe 
Has an account with 
Has an account with 
Has an account with 
Has an account with 
Has an account with 
Has an account with 
Was a member of 
Was a member of 
Has made a disclosure about 
Was employed by 
Was a member of 
Was Arbitrator for 
Was employed by 
Held Securities License(s) 
Holds Securities License(s) 
DISCLOSURE/CONFLICT INFORMATION 
Firm Name 
Details 
Citigroup Global Markets, Inc. 
Dreyfus Service Corp. 
Fidelity Investments 
LFG, L.L.C. 
Keystone (REFCO) 
REFCO 
Vanguard 
AIMR 
Amer. Institute of Mangement and Research 
nka The CFA Institute 
Citibank 
PartoftheTravellersGroup-SalomonSB 
Citigroup Global Markets, Inc. 
New York Society of Securities Analysts 
New York Stock Exchange 
Virtus Advisors 
Series 3, 4, 27 and 63 
Series 7 and 24 
PUBLICLY AVAILABLE AWARDS 
Publicly Available Awards Section. Current as of 01/20/2010 
Case ID 
Case Name 
Close Date 
09-00861 
Helen Howard vs. Wells Fargo Investments, LLC and David M. Logsdon 
09/01/2009 
06-03260 
Wachovia Securities, LLC. v. Haran Brucker 
08/19/2008 
07-02620 
Todd Greenbaum v. Hapoalim Securities USA, Inc. as Successor in interest to lnvestec (US) 
04/08/2008 
Incorportated. 
99-03829 
Eli and Stephanie Serur vs. Prudential Securities and Jeff Miller 
99-00981 
Barry M. Lasner v. Advest, Inc. and Carol Silverman 
09/28/2000 
04/26/2001 
ARBITRATOR BACKGROUND INFORMATION 
Formerly employed with Citibank as a Systems Analyst. Twenty-five years in bank treasury and broker dealer activities, 
including marketing, research, trading; fixed income and equities, foreign and domestic; extensive retail and institutional 
contact. Education included BA Economics and MBA Finance and Investments; Professional memberships included NY 
Society of Securities Analysts and AIMR; Securities licenses held: Series 3 (Commodities and Futures) 27 (Fin Op) and series 
63. Currently hold series 7 and 24. 
"Based on information made available to FINRA, the arbitrator (i) is an employee of a firm that, at any point since January 1, 
2005, sold auction rate securities, or (ii) was an employee of such a firm at any time after January 1, 2005." 
Staff ID: LeeC 
Page 74 of 75 
Publicly Available Awards Section, Current as of 
01/20/2010 
EFTA00726399

FINRA Dispute Resolution 
Arbitrator ID: 
Staff ID: LeeC 
Page 75 of 75 
Publicly Available Awards Section: Current as of 
01120/2010 
EFTA00726400