Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen Seplowe and Harry V. Mardigan (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-00349 Hearing Site: Albany, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Stephen Seplowe ("Seplowe") and Harry V. Mardigan ("Mardigan") hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Allen Mehall, Claimant v. Wachovia Securities, LLC, Respondent Case Number: 03-00345 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: William R. Lindsley, Esq. Law Offices of William R. Lindsley Toledo, Ohio For Respondent: David F. Faustman, Esq. Lester Aponte, Esq. Grotta, Glassma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher J. Golec and Kathryn Golec, individually and as trustees of the Golec Family Trust, Claimants v. Credit Suisse First Boston LLC and Douglas Paul Fiek, Respondents Case Number: 03-00344 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Robert L. Gonser, Esq. Bria

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael B. Burke and Constance Burke v. 03-00342 Denver, Colorado Respondents Citigroup Global Markets, Inc., f/k/a. Salomon Smith Barney, Inc. and Jack B. Grubman Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Michael B. Burke and Constance Burke ("Claimants") were represented by James Richard Hooper, Esq., of Hoop

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00341 Hyman Kaplan TTEE Hyman Kaplan Revocable Trust & Beatrice O. Kaplan TTEE Beatrice O. Kaplan Revocable Trust, Claimants v, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Hyman Kaplan TTEE Hyman Kaplan Revocable Trust & Beatrice O. Kaplan TTEE Beatrice O. Kaplan Revocable Trust, ("Claimants"), appeared James Rich

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00340 Vincent Mazzilli & Cheryl Pearson, Claimants v. Citigrou Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Vincent Mazzilli & Cheryl Pearson, ("( Hooper, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a ' B. Grubman, ("Respondents"), appeared Bradford D. KE NATURE OF DISPUTE: Customers v. Member and Associated Person DATE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00339 Lewis A. Wible, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Lewis A. Wible, Jr., ("Claimant"), appeared James Richard Hooper, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), appeared Bradford D. Kaufman,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00338 Steven P. Houle Names of the Respondents Hearing Site: Tampa, Florida Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Steven P. Houle, hereinafter referred to as "Claimant": James Richard Hooper, Esq., Hooper & Weiss, LLP, Orlando, Florida.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00336 Moira Achinapura, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Moira Achinapura, ("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

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00335 Varda Hager, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Varda Hager, ("Claimant"), appeared James Richard Hooper, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), appeared Bradford D. Kaufman, Esq., West Pal