Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05078 Fred M. Kermode IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Fred M. Kermode IRA, hereinafter referred as "Claimant": Douglas H. Glicken, Esq., Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Eleanor Werbalowsky SSB IRA Custodian GPM Account Alvin Werbalowsky and Eleanor Werbalowsky JTWROS Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-05074 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ronald and Ruth Ann Befferman Case No. 00-00759 DiMedio & Co. (f/k/a DiMedio Kirchhoff & Co., Inc.) The Kirchhoff Organization, Ltd. Silvio DiMedio Rhett H. Kirchhoff Rearing Site- Philadelphia, Pennsylvania o Claimants, Ronald and Ruth Ann Befferman hereinafter referred to as "Claimants": John McDonald, Esq., Stark & Stark, Princeton, NJ. Respondent, Silvio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05072 C. Stephen Carper IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For C. Stephen Carper IRA, hereinafter referred to as "Claimant": Douglas H. Glic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Stanley Goldman and Renee Goldman Co TTEEs Stanley Goldman Trust and Renee Goldman Stanley Goldman Renee Goldman Account 2 Names of the Respondents Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. Jack'B. Grubman Case Number: 04-05071 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Preston S. Foulks (Claimant) v. MetLife Securities, Inc., John Day Billington and Steven Charles Day (Respondents) Case Number: 04-05062 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Preston S. Foulks ("Foulks") hereinafter referred to as "Claimant": Robert J. Barsch, Esq., New York,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05048 Raymond James Financial Services, Inc., Claimant v. Margaret Kopecki, Respondent ATTORNEYS: For Claimant Raymond James Financial Services ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel, Raymond James Financial Services, Inc. St. Petersburg, FL. Respondent Margaret Kopecki ("Kopecki") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associat

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Michael J, McCafferty, Roger A. McCafferty, Barbara L. Berndt and Keri A, Boldan v. 04-05045 Minneapolis, Minnesota Respondents Cap Pro Brokerage Services, Inc., and Legacy Builders Resource Group Nature of Dispute: Customers v. Member and Non-Member with a Contract to Arbitrate REPRESENTATION QF PARTIES Michael J. McCafferty, Roger A. McCafferty, Barbar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc. (Claimant) v. Victor M. Rodriguez (Respondent) Case Number: 04-05043 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc. ("UBS"), hereinafter referred to as "Claimant": Mark A. Rosen, Esq., Davidson & Grannum, LLP, Boston, MA. Previously represented by Deborah

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05041 Thomas E. Lynch and Charlotte E. Lynch and Thomas E. Lynch IRA, Claimants v. Quick & Reilly, Inc.,. Bradley G. Kessler, and Gregory M. Stockton, Respondents ATTORNEYS: For Claimants Thomas E. Lynch and Charlotte E. Lynch and Thomas E. Lynch IRA (collectively "Claimants") appeared Henry F. DeBaggis, Cleveland, OH. For Respondents Quick & Reilly, Inc., Bradley G. Kessler, and Gregory M.