Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04841 Susanne H. Brown 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 Susanne H. Brown, hereinafter referred to as "Claimant": James Richard Hooper, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John W. Bates Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04840 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John W. Bates, hereinafter referred to as "Claimant": Michael B. Lynch,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sandi Cooper Names of the Respondents Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack Grubman Case Number: 03-04837 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sandi Cooper, hereinafter referred to as "Claimant": Michael Lynch, Esq., Ho

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04836 Emerson D. Lightner, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Emerson D. Lightner ("Claimant") appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman ("Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Neil C. McGrath Names of the Respondents Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04835 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Neil C. McGrath, hereinafter referred to as "Claimant": Michael B. Lyn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marjorie Berg Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Case Number: 03-04834 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marjorie Berg, hereinafter referred to as "Claimant": Michael Lynch, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gary L. Price and Georgia L. Price JTWROS Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04832 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gary L. Price and Georgia L. Price JTW

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04831 Joseph Lascari TTEE FBO Joseph Lascari Trust Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph Lascari TTEE FBO Joseph Lascari Trust, hereinafter

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Scott Alan Rubin Names of the Respondents Roundhill Securities, Inc. and John Britt Case Number: 01-01499 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Scott Alan Rubin, hereinafter referred to as "Claimant": Gerald Rubin, Esq., Law Offices of Gerald Rubin, P.C., Newark, New Jersey. For Roundhill Securities, Inc. ("Roundhill"): William Zeena,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04830 The Declaration of Marilyn A. Nicklas Trust Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Declaration of Marilyn A. Nicklas Trust, hereinafte