NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06546 Dorothy K. Hummel IRA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman,, Respondents. ATTORNEYS: ' " " For Claimant, Dorothy K. Hummel 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

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06545 Constance Karras TTEE FBO Constance Karras Living Trust, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Constance Karras TTEE FBO Constance Karras Living Trust, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, Esq., Orlando, FL. For Respondents, Citigrou

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01701 Sybil Shainwald and Sidney Shainwald, claimants vs. Susan Jacobs and Citicorp Investment Services, respondents. ATTORNEYS: For Claimants appeared Stephen H. Weiner, Esq. of the Law Offices of Sybil Shainwald, P.C., New York, NY. For Respondents appeared Jennifer Newman Sendor Esq., in-house counsel, Long island City, NY. DATE FILED: April 5, 2001 CASE SUMMARY: Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06544 Ernest W. Spengler IRA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Ernest W. Spengler IRA, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A. 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: 03-06542 Irving Rossnick IRA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Irving Rossnick 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. Grub

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06541 William Shelley KEOGH, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, William Shelley KEOGH, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Office of Douglas H. Glicken, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. CaseNnmher: 03-06540 Names of the Respondents Christopher W. Calvin Wachovia Securities, Inc. Hearing Site: Philadelphia., PA Nature of the Dispute: Member vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant, Salomon Smith Barney, hie. n/k/a Citigroup Global Marke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants David Rishel, IRA r* 03-06536 x of the, Citigroup Global Markets, Inc. Jack B. Grubman Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. KFPRFSFNTATinN OF PARTTFS Claimant, David Rishel, IRA, hereinafter referred to as "Claimant", was represented by James Richard Hooper, Esq., Hooper & Wei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John James Hava, Claimant v. Citigroup Global Markets, Inc. and Jack B. Grubman, Respondents Case Number: 03-06534 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael B. Lynch, Esq. Hooper & Weiss, L.L.C. Orlando, Florida For Respondents: Mark L. Parmelee, Esq. Greenberg Traurig,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06533 Robert T. Foreman Names of the Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc., f/k/a/ Salomon Smith Barney, Inc. Jack B, Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert T. Foreman, hereinafter referred to as "Claimant": James Richard Hooper, Es