Award NASD Dispute Resolution In the Matter of the Arbitration Between: Phillip San Sebastian, Claimant v. Salomon Smith Barney, Inc. (n/k/a Citigroup Global Markets, Inc.), Respondent Case Number: 03-09212 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Steven E. Paganetti Wild, Carter & Tipton Fresno, California For Respondent: Peter R. Boutin, Esq. Keesal, Young

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09208 David and Marianne Zalut JTWROS, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: For Claimants, David and Marianne Zalut JTWROS, ("Claimants"), appeared Aismara J. Abreu, Esq., of the firm Anapol, Schwartz, Weiss, Cohan, Feldman& Smalley, P.C., Philadephia, PA. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney,

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Janet C. Hillelson Young Grantor TR UAD 6/28/79 Janet C. Hillelson Young TTEE Individually and as Trustee Case No. 01-01721 Names of Respondents Bruce Sallah J.W, Genesis Financial Corn, Hearing Site: Boca Raton, Fldrida REPRESENTATION QF PARTIES For Janet C. Hillelson Young- Grantor TR UAD 6/28/79, Janet C. Hillelson Young TTEE

i * I j NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09206 Randall L. Zotter, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: " For Claimant, Randall L. Zotter, ("Claimant"), appeared Scott A. Lane, Esq., of the firm Edgar Snyder & Associates, L.L.C., Pittsburgh, PA. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondents"), appear

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09205 David D. Hall, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: ~~~ For Claimant, David D. Hall, ("Claimant"), appeared Scott A. Lane, Esq., of the firm Edgar Snyder & Associates, LLC, Pittsburgh, PA. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared Stephen L. Saxl, Esq., of

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jan-Eric Ramberg, Dr. Alberto Vasquez, Margot J. Vasquez, and Katherine Duff Rines as successor trustee of the John R. Rines Trust (Claimants) v. Sands Brothers & Co., Ltd., Martin Scott Sands, Steven Brett Sands, and Sands Brothers Group, LLC (Respondents) Case Number: 03-09201 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member, and Associ

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09200 Sandra Stewart Bernstein TTEE FBO Sandra Stewart Bernstein, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Sandra Stewart Bernstein TTEE FBO Sandra Steward Bernstein, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Ci

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09196 Emma Lou Burtrum, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Emma Lou Burtrum, ("Claimant"), appeared Rohit Sharma, Esq., of David Garret Law Office, P.C., Muskogee, OK. For Respondents, Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), app

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Serge Kaftal, individually and as custodian for Kristopher Kaftal, and Halina Kaftal v, Merrill Lynch, Pierce, F nner & Smith Inc., Alicia S. Greenbaum, and Mark Justin Case Number: NASD Arb. No. 03-09194 Hearing Site: Newark, New Jersey Nature of Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Serge Kaftal, individually and as cus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alex A. and Minica Casbara, Individuals and as Co-Trustees of Alex A. Casbara and Minica Casbara Family Trust, Claimants v. Diversified Securities, Inc. and Kevin J. Conway, Respondents Case Number: 03-09188 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Rod M. Bidgoli, Esq. Irvine L