Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06530 Irma Steinberg, TTEE Names of the Respondents Hearing Site: Boca Raton, Florida 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 Irma Steinberg TTEE ("Steinberg")* hereinafter referred to as "Claimant": Edu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sarah T. Broyles Names of the. Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman ra.se Niimher 03-06529 aring Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRKSF.NTATTON OF PARTTF.S Claimant, Sarah T. Broyles, hereinafter referred to as "Claimant",

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06527 Di aneT Allen and David Allen JTWROS Names of the Respondents Hearing Site: Tampa, Florida 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 Diane Allen and David Allen JTWROS, hereinafter collectiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01693 Robert Morin and Judith Morin, claimants vs. Josephthal & Co., Judith Matthews, and Thomas Endres, respondents. ATTORNEYS: For Claimants appeared Robert H. Weiss, Esq., Jericho, NY. For Respondents, Josephthal & Co. and Thomas Endres, appeared John Bersin, in-house counsel, New York, NY. Respondent, Judith Matthews, did not respond to the Statement of Claim. DATE FILED: Ap

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06525 Joseph M. Jesuele Names of the Respondents Hearing Site: Tampa, FL 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 Joseph M. Jesuele, hereinafter referred to as "Claimant": Michael B. Lynch, Esq., Hoop

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paula F. Dodge, IRA and Case Number: 03-06524 Hearing Site: Milwaukee, Wisconsin Name of Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney Inc., and Jack B. Grubman NATURE OF DISPUTE Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Paula F. Dodge, IRA ("Claimant") or ("Dodge") was represented by James Richar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06522 James K. Pryor Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James K. Pryor, hereinafter referred to as "Claimant": Michael B. Lynch, Esq., Hoope

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stephen M. Coleman, IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-06521 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Stephen M. Coleman, IRA, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aaron Rubin, Trustee FBO Aaron Rubin Revocable Trust, Claimant v. Citigroup Global Markets Inc. and Jack B. Grubman, Respondents Case Number: 03-Q6518 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: James Richard Hooper, Esq. Hooper & Weiss, L.L.C. Orlando, Florida For Respondents: D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06514 Ernest A. Baade, IRA The Ernest A. Baade Trust Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. JackB.Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ernest A. Baade, IRA and The Ernest A. Baade Trus