Award NASD Dispute Resolution In the Matter of the Arbitration Between: Katrina Schalensky (Claimant) vs. Citigroup Global Markets i7k/a Salomon Smith Barney (Respondent) Case Number: 05-04104 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Katrina Schalensky hereinafter referred to as "Claimant" appeared pro-se. Respondent Citigroup Global Markets fTk/a Salomon Smith Barney hereinafter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04103 National Securities Corporation, (Claimant) vs. Christopher Halstead, (Respondent) ATTORNEYS: ~ For Claimant appeared Michael S. Colombo, President/CEO of the firm StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 1, 2005 CASE SUMMARY: Claimant al

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent BOSC, Inc. and Respondents/Counter-Claimant Case Number: 05-04061 Hearing Site: Oklahoma City, Oklahoma Citigroup Global Markets, Inc., individually and d/b/a Smith Barney, an unincorporated division and service mark of Citigroup Global Markets, Inc., and Jeffrey R. Thompson NATURE OF DISPUTE Member Firm vs. Member Firm and Associat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04038 Kelly S. Ramsay Name of the Respondents Hearing Site: Des Moines, Iowa Ameriprise Financial Services, Inc. and Deniz Tuncay Franke NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Kelly S. Ramsay, hereinafter referred to as "Claimant": John D. Hudson, Esq., of the firm o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04036 Richard B. Dannenberg, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: ~ Claimant appeared pro se, Purchase, NY. For Respondent appeared in-house counsel Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 1, 2005 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were unsuitable for

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04009 Perry A. Sproul, (Claimant) vs. National Securities Corporation, (Respondent) ATTORNEYS: ~~ Claimant appeared pro se, Brooklyn, NY. For Respondent appeared in-house counsel Andrew M. Heath, III, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 25, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handled his account and omitted facts reg

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Pat Stanley Burge and Name of Respondent ' . IMS Securities, Inc. Case Number:, 05-03998 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Member Firm REPRESENTATION OF PARTIES • ' ' ' ' ' ' - . • ~ . i ' ' ' ' " ' , Pat Stanley Burge ("Claimant") was

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03978 Connie Cole, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Robert R. Riley, Esq., of the firm Riley and Jackson, P.C., Birmingham, AL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig, P. A., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION i i CASE: 05-03912 Oppenheimer & Co., Inc., (Claimant) vs. John W. Howard, III, (Respondent) ATTORNEYS: " " —_—- For Claimant appeared in-house counsel Eric J. Shames, Esq., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 27, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03845 Nancy M. Cross, (Claimant) vs. David I. Moffitt and Merrill Lynch, Pierce, Fenner < fe Smith, Inc., (Respondents) ATTORNEYS: —— For Claimant appeared Jean Cross, Power of Attorney, Prescott Valley, AZ. For Respondents appeared in-house counsel Emilia M. DeMeo, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: July 20,2005 CASE SUMMARY; C