NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04324 William C. Carlson, Claimant vs. Interactive Brokers LLC, Respondent. ATTORNEYS: Claimant appeared Pro Se, Peoria, IL. For Respondent appeared Bradford L. Jacobwitz, Vice President, Legal and Compliance, Interactive Brokers LLC, Greenwich, CT. DATE FILED: September 29, 2000 CASE SUMMARY: Claimant alleged that respondent failed to adjust the shares of HTD in his account to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00303 Gerard Gallagher, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Gerard Gallagher, ("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: 03-00302 Randy A. Nadelhaft and Glory Nadelle, Claimants v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimants Randy A. Nadelhaft and Glory Nadelle (collectively "Claimants") appeared James Richard Hooper, Esq. of the firm Hooper & Weiss, L.L.C., Orlando, FL For Respondents Citigroup Global Markets, Inc. f7k/a Salomon Smith

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00301 Marcia L. Reider, Claimant v. Citigroup Global markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: ~~~ For Claimant Marcia L. Reider ("Claimant") appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents Citigroup Global Markets, Inc f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, (collectively

NASD DISPUTE RESOLUTION AWARD ^ NASD DISPUTE RESOLUTION CASE: 03-00300 Susanne Wade, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Susanne Wade, ("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, ("Respondents"),

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00299 Gloria Costanzo IRA, Claimant vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Gloria Costanzo, ("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, ("Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00298 Sharon A. Richards, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: ~~~ For Claimant, Sharon A. Richards, ("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, ("R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00295 Jeanne Simonini, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Jeanne Simonini, ("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, E

,11/16/2004 08:43 ! v PAGE 02/0? NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION Case: 03-4)0294 Rick A. Sawyer, Claimant v. Chigroup Global Markets flea Salomon Smith Barney, Inc., and Jack B. Grubrnan, Respondent ATTORNEYS: Claimant: Rick A. Sawyer, appeared James Richard Hooper, Esq., & Robert H. Weiss, Esq. of Hooper & Weiss, LLC Respondent: Citigroup Global Markets fka Salomon Smith Barney, Inc., and Jack B. Grubman, appeared

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00293 Norris Logan and Barbara D. Logan, Claimants vs. Salomon Smith Barney Inc., n/k/a/ Citigroup Global Market, Inc., and Jack Grubman, Respondents. ATTORNEYS: For Claimants, Norris Logan and Barbara D. Logan ("Claimants"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando FL. For Respondents, Salomon Smith Barney, Inc., n/k/a/ Citigroup Global Markets, Inc.,