AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael S. Ortiz and Case Number: 04-04859 Hearing Site: Chicago, Illinois Respondent Cargill Investor Services, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Michael S. Ortiz, ("Claimant"), was represented by Brian Martin, Esq., of Bell, Boyd & Lloyd LLC, located in Chicago, Illinois. Cargill Investor Services, Inc., ("CIS"), wa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patty S. Yu, Claimant v. Federal Street Investments, Inc., Roger J. Blundell, and David J. Rossignol, Respondents Case Number: 04-04854 Hearing She: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: In Propria Persona For Respondents Federal Street Investments, Inc. and Roger J. Blundell

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04839 Joseph J. Sacco Name of the Respondent Hearing Site: Orlando, Florida Investacorp, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Joseph J. Sacco, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Law Offices of Neal J. Blaher, Orlando, Florida. For Investacorp, Inc., hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Simon Frija and Ann M. Frij a Ten. by Ent. Ann Margaret Frija, TTEE of/for Ann Margaret Frija Declaration Trust FBO Ann Margaret Frija Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-04835 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ygnacio M. Calderon and Ygnacio Mike Calderon, IRA, Claimants v. Raymond James Financial Services, Inc. and James R. Chaffee, Respondents Case Number: 04-04830 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard M. Layne, Esq. Layne & Lewis LLP Portland, Oregon For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Richard W. Reese and Kathryn J. Reese Name of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. And John C. Hemphill Case Number: 04-04826 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Richard W. Reese and Kathryn J. Reese, hereinafter co

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mario Monfardini and 04-04824 Phoenix, Arizona Name of Respondents Prudential Equity Group, LLC Warren Ronald Thompson Kathy Ann Stiber Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Mario Monfardini ("Claimant") was represented by Stuart C. Goldberg, Esq., Scottsdale, Arizona and Seth E. Lipner, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. v. 04-04819 Denver, Colorado Respondent Walter Weyrauch Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. ("Claimant") was represented by Jessica E. Price, Esq., of Brouse McDowell, Cleveland, Ohio. W

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. vs. Michael Masur Padawer Case Number: 04-04817 SITUS: St. Louis, Missouri NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Jessica E. Price, Esq. of Brouse McDowell, located in Cleveland, Ohio. Respondent, Michael Masur Padawer, did not enter an appe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04808 Pauline Rainone Gianni Matragrano (Minor) Names of the Respondents Hearing Site: Orlando, Florida Legg Mason Wood Walker, Incorporated Fred Kelleher Ladd Aliff Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Pauline Rainone ("PR") and Gianni Matragrano ("GM"), hereinafter collect