Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04865 Sam D. Timpano Names of the Respondents Hearing Site: Orlando, Florida UBS Financial Services, Inc. Merrill Lynch Pierce Fenner & Smith Incorporated Nature of the Dispute; Associated Person vs. Member. REPRESENTATION OF PARTIES For Sam D. Timpano, hereinafter referred to as "Claimant": Marc S. Dobin, Esq., Dobin & Jenks, LLP, Ju

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Estate of Charles DeVeau _ . and ' . . - Case Number: 04-04863 Names of Respondents Hearing Site: Houston, Texas Morgan Stanley DW, Inc. and Constance Carpeno Paddock. NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES The Estate of Charles DeVeau ("Claimant") was represented by Donald M. Fefermaii, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Walter B. Connolly, Jr. and Case Number: 04-04860 Hearing Site: Detroit, Michigan Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Craig E. Dyson NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Walter B.Connolly, Jr. ("Claimant") was represented by William J. Rogers, Esq., Connolly Rodgers & Scharman, PLL

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Narsingh D. Gupta Living Trust, by Dr. Narsingh Gupta, Trustee and 01-00203 Southfield, Michigan Advest, Inc., and Gordon E. Maynard REPRESENTATION OF PARTIES Claimant, Narsingh D. Gupta Living Trust, by Dr. Narsingh Gupta, Trustee ("Gupta") was represented by David M. Black, Esq., Sommers, Schwartz, Silver & Schwartz, Southfield, Michigan. Respondents Advest, Inc

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