Award NASD Dispute Resolution P fl P I In the Matter of the Arbitration Between: Charlene Castello, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Respondent Case Number: 01-03616 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Charlene Castello In Pro Per La Jolla, California For Respondent: Michael M. Gless, Esq. Keesal Young & Logan Long Beach, California CASE INFORMATION

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Louise Cahill v Salomon Smith Bamey Docket Number: 2003-014556 Attomeys: For Claimant(s): Milton Fried - Kingwood, TX Dennis Reich - Houston, TX For Respondent(s): Stacey Garrett - Long Beach, CA Date Filed: 9/24/2003 First Scheduled: 7/27/2004 Decided: ? 1:^0 10^ Case Summary: Claimant alleges breach of fiduciary duty, negligence, conflicts of interest

• 1 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gerald Murdock v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2003-014537 Attomeys: For Claimant($): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - Nw York, NY Date Filed: 9/15/2003 First Scheduled: 08/16/2004 Decided: 9/34/04 Case Summary: Customer claimant alleges breach of cont

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kevin Pennison v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2003-014536 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY DateFiled: 9/15/2003 First Scheduled: 8/16/2004 8/27/0i^^'='ded: g/27/04 Case Summary: Customer claimant alleges breach of contract

•NYSE 'ew York Stock Exchange In the Matter of Arbitration Between Case: Roland Minard and Sueann Minard v. Prudential Securities, Prudential Securities, a division of Wactiovia Securities, LLC and Curtis Jalm Docket Number: 2003-014534 Attorneys: For Claimant(s): Erwin Colin - Cliicago, IL For Respondent(s): David A. Picon - New York, NY Date Filed: 9/11/2003 First Scheduled: 07/13/2004 Decided: 12/10/2004 Case Summary: Claimants, c

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Myron Patterson v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co. Docket Number: 2003-014532 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bormie Altro - New York, NY Date Filed: 9/15/2003 First Scheduled: 08/16/2004 Decided: 9/22/04 Case Summary: Customer claimant alleges breach of contract, failur

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Albert Puca v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2003-014531 Attomeys: For Claimant(s): Kevin B. Lowe - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/15/2003 First Scheduled: 08/16/2004 Decided: 9/30/04 Case Summary: Customer claimant alleges breach of contract, fail

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Evan Moore v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2003-014530 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY DateFiled: 9/15/2003 First Scheduled: 8/16/2004 Decided: 8/30/04 Case Summary: Customer claimant alleges breach of contract, failure to

••NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ulupi Sevak v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2003-014529 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/2/2003 First Scheduled: 08/16/2004 Decided: 10/22/04 Case Summary: Customer claimant alleges breach of contract, failure

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marion Powell v Merrill Lynch Pierce Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2003-014527 Attorneys: For Claimant(s): Kevin B. Love, Esq. - Coral Gables, FL For Respondent(s): Boimie Altro - New York, NY Date Filed: 9/15/2003 First Scheduled: 08/16/2004 Decided: 9/10/04 Case Summary: Customer claimant alleges breach of contract