Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kristie Fisfis Prewett Number- 04-01672 Names of the Respondents Tiche Capital Strategies., LLC Emmett A. Larkin Company, Inc. Site: Pittsburgh, Pennsylvania Name nf Third-Party Respondent David E. Osaba Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTTFS Claimant Kristie Fisfis Prewett, hereinafter referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) v. Nicholas Varvitsiotis (Respondent) Case Number: 04-01669 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member v. Customer. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc. ("UBS") hereinafter referred to as "Claimant": Anthony J. Borrelli, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown, NJ.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) v. Patience L. Taylor (Respondent) Case Number: 04-01667 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc. hereinafter referred to as "Claimant": Anthony J. Borrelli, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown, NJ. R

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01659 Donald T. Giles, Jr. Cherie L. Giles Names of the Respondent*; Hearing Site- Pittsburgh, Pennsylvania Hefren-Tillotson, Inc. Vincent Ross, Jr. Mark A. Battaline Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Donald T. Giles, Jr. and Cherie L. Giles, hereinafter coll

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ivan Winograd Helene Winograd Name of the Respondent PMG Securities Corporation Names of Third-Party Respondents George Anthony Schmidt, Jr. Denise Marie Fleming 1717 Capital Management Company Case_Number: 04-01658 Hearing Site: Boca Raton, Florida. Nature of the Dispute: Customer vs. Member vs. Member and Associated Person.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Don Zabawa Names of Respondents FAS Wealth Management Services, Inc. Randy James Derouin Lee A. Siler Georgeanne Detweiler Gaeton "Guy" Dellapenna Case No. 00-05723 Hearine Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Don Zabawa ("Zabawa") hereinafter referred to as "Claimant": Richard Stephens, Esq., Boca Raton, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Abilio Rodrigues and Cecilia B. Oliveira Rodrigues Name of the Respondent Bane of America Investment Services, Inc. Case Number: 04-01656 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Abilio Rodrigues and Cecilia B. Oliveira Rodrigues, hereinafter collectively referred to as "Cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01654 Cathy J. Huffman Jerry Lee Huffman, Sr. Names of the Respondents Hearing Site: Atlanta, Georgia Merrill Lynch, Pierce, Fenner & Smith, Inc. Randall Joe Snipes Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cathy J. Huffman and Jerry Lee Huffman, Sr., hereinafter colle

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond H. Maxwell and Barbara S. Maxwell, Claimants, v. Merrill Lynch, Pierce, Fenner & Smith Inc., Robert Scott Como and Joseph Sotelo, Jr., Respondents. Case Number: 04-01653 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES For Claimants: Raymond H. Maxwell Scottsdale, Arizona (pro se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: C. Starr Limited Partnership; Starr Family Trust FBO Ross Starr UAD 3/22/99; Starr Donor Trusts 1 through 5, inclusive; and Starr Living Trust UAD 3/30/80, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 04-01648 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Edward S. Ge