NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06542 Irving Rossnick IRA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Irving Rossnick IRA, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grub

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06541 William Shelley KEOGH, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, William Shelley KEOGH, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Office of Douglas H. Glicken, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. CaseNnmher: 03-06540 Names of the Respondents Christopher W. Calvin Wachovia Securities, Inc. Hearing Site: Philadelphia., PA Nature of the Dispute: Member vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant, Salomon Smith Barney, hie. n/k/a Citigroup Global Marke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants David Rishel, IRA r* 03-06536 x of the, Citigroup Global Markets, Inc. Jack B. Grubman Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. KFPRFSFNTATinN OF PARTTFS Claimant, David Rishel, IRA, hereinafter referred to as "Claimant", was represented by James Richard Hooper, Esq., Hooper & Wei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John James Hava, Claimant v. Citigroup Global Markets, Inc. and Jack B. Grubman, Respondents Case Number: 03-06534 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael B. Lynch, Esq. Hooper & Weiss, L.L.C. Orlando, Florida For Respondents: Mark L. Parmelee, Esq. Greenberg Traurig,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06533 Robert T. Foreman Names of the Respondents Hearing Site: Atlanta, Georgia 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 Robert T. Foreman, hereinafter referred to as "Claimant": James Richard Hooper, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06530 Irma Steinberg, TTEE Names of the Respondents Hearing Site: Boca Raton, 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 Irma Steinberg TTEE ("Steinberg")* hereinafter referred to as "Claimant": Edu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sarah T. Broyles Names of the. Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman ra.se Niimher 03-06529 aring Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRKSF.NTATTON OF PARTTF.S Claimant, Sarah T. Broyles, hereinafter referred to as "Claimant",

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06527 Di aneT Allen and David Allen JTWROS 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 Diane Allen and David Allen JTWROS, hereinafter collectiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01693 Robert Morin and Judith Morin, claimants vs. Josephthal & Co., Judith Matthews, and Thomas Endres, respondents. ATTORNEYS: For Claimants appeared Robert H. Weiss, Esq., Jericho, NY. For Respondents, Josephthal & Co. and Thomas Endres, appeared John Bersin, in-house counsel, New York, NY. Respondent, Judith Matthews, did not respond to the Statement of Claim. DATE FILED: Ap