NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06566 Everett H. Erlick TTEE, FBO Everett H. Eriick, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Everett H. Erlick TTEE, FBO Everett H. Erlick, ("Claimant"), appeared Douglas H. Glicken, Esq., of The Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-01703 Charles Sezon, claimant vs. James Ya Wang and Thomas Maiorana, respondents. ATTORNEYS: For Claimant appeared Paul W. Thomas, Esq., Carlesbad, CA. Respondents did not respond to the Statement of Claim. DATE FILED: April 5, 2001 CASE SUMMARY: Claimant alleged he suffered damages as a result of respondents' breach of settlement agreement. Claim Data Award Data Claim: $3,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06565 Daniel Howard Reilly ACF Timothy Reilly, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Daniel Howard Reilly ACF Timothy Reilly, ("Claimant"), appeared Douglas H. Glicken, Esq., of The Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06564 Wayne H. Mailiiard & Donna Mailliard JTWROS, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Wayne H. Mailliard & Donna Mailliard JTWROS, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06563 Frank and Mary Ann Lozupone JTWROS, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Frank and Mary Ann Lozupone, JTWROS, ("Claimants"), appeared Douglas H. Glicken, Esq., of the Law Office of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06562 Alex Zulla IRA and Cecelia Zulla IRA, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Alex Zulla IRA and Cecelia Zulla IRA, ("Claimants"), appeared Douglas H. Glicken , Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon S

NASD DISPUTE RESOLUTION CASE: 03-06561 Walter Lynwood, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents, ATTORNEYS; For Claimant, Walter Lynwood, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smitif Barney, Inc. and Jack B. Grabnian, ("Respondents"), appeared Bradford D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacqueline Macklin (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-06560 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Jacqueline Macklin ("Macklin") hereinafter referred to as "Claimant" appeared pro se. Respondent Merrill Lynch, Pierce, Fermer & Smith, Inc. ("Merrill Lynch")

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06558 Albert J. Mound IRA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: ~~ For Claimant, Albert J. Mound IRA, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. G

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06557 Diane B. Thiesen, IRA, Claimant v, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents, ATTORNEYS: For Claimant, Diane B. Thiesen, IRA, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a/ Salomon Smith Barney, Inc. and Jack B.