Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04828 Richard Lloyd and Geraldine Lloyd, JTWROS Names of the Respondents Hearing Site: Orlando, 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 Richard Lloyd and Geraldine Lloyd, JTWROS, hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lenora Engel TTEE- Lenora Engel Trust Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 03-04827 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lenora Engel TTEE-Lenora Engel Trust, hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04826 Alton Fmily Trust, Claimant vs. Citigroup Global Markets, Inc. f/k/a Saloman Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: " For Claimant, Alton Family Trust, ("Claimant"), appeared James Richard Hooper, Esq. from the firm Hooper & Weiss, LLC. Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc.and Jack B. Grubman, ("Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04812 Irving Jablon, Trustee FBO Irving Jablon Names of the Respondents Hearing Site: Boca Raton, 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 Irving Jablon Trustee FBO Irving Jablon, hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04807 Steve L. Hensley 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 Steve L. Hensley, hereinafter referred to as "Claimant": Michael B. Lynch, Esq., Hooper

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant The Hillery Family Trust Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04804 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Hillery Family Trust, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant FBO Michael E. Miller, IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04800 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For FBO Michael E. Miller, IRA, hereinafter referred to as "Cla

* fc Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) v. Prebon Financial Products, Inc. and CreditTrade Securities Corporation (Respondents) Case Number: 03-04797 Hearing Site: New York, New York Nature of the Dispute: Member v. Members. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert M. Neal and Joseph Pellitteri (Claimants) v. Dresdner Kleinwort Wasserstein, Inc. (Respondent) Case Number: 03-04796 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Robert M. Neal ("Neal") and Joseph Pellitteri ("Pellitteri") hereinafter collectively referred to as "Claimants": David B. Wechsler, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia A. Fogaras (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael E. Zweig (Respondents) Case Number: 01-01498 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Virginia A. Fogaras ("Fogaras") hereinafter referred to as "Claimant": James B. Davis, Esq., Newbury, OH. Respon