Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Levesque, IRA, Claimant v. Citigroup Global Markets, Inc., f/k/a/ Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents Case Number: 03-06512 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 Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Marion Frager Albert S. Frager, TTEE FBO Marion Frager Trust Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack Grubman Case Number: 03-06510 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marion Frager and Alber

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06509 Carol M. Lott, IRA Name nf the Respondents Rearing Site: Philadelphia, Pennsylvania Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person RP.PRKSF.NTATTON OF PARTTFS Claimant, Carol M. Lott, IRA, hereinafter referred to as "Claimant", was repre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles H. Schafer, Claimant v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents Case Number: 03-06506 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: James Richard Hooper, Esq. Hooper & Weiss, L.L.C. Orlando, Florida For Respondents

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Keith Lewis Robinhood Holdings, Inc. Names of Respondents Prudential Securities, Inc. Michael Newton Case No, 01-01690 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Keith Lewis ("Lewis") and Robinhood Holdings, Inc ("Robinhood"), hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Plantat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06503 Stanley G. Stroyls and Donna M. Stroyls, JTWROS Stanley G. Stroyls, IRA Donna M. Stroyls, IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubrnan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Laura Wasserman and Irving Wasserman, Trustees f7b/o Laura Wasserman Living Trust Names of the Respondents Citigroup Global Markets, Inc., f/k/a. Salomon Smith Barney, Inc. JackB. Grubman Case Number: 03-06502 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stephen and Melissa Godfrey and 03-06499 Kansas City, Missouri Name of Respondents TD Waterhouse Investor Services, Inc. Sunflower Asset Management Inc. Joseph N. Kain Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Stephen and Melissa Godfrey ("Claimants") were represented by Roger N. Walte

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06495 Laurence Piigeram TTEE FBO Pilgeram Trust, Claimant v. The GMS Group, LLC, and Quincy Brown, Respondents. ATTORNEYS: Claimant, Laurence Pilgeram TTEE FBO Pilgeram Trust, ("Claimant"), appeared pro se, Goleta, CA. Respondents, (collectively "Respondents"): For Respondent, The GMS Group, LLC, ("GMS"), appeared Jennifer Woods Burke, Esq., of the firm Lubiner & Schmidt, Cranford, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Robert L. Graef (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc,, Raymond Miranda, and Bank One Columbus, N.A. (Respondents) Case Number: 03-06490 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant The Estate of Robert L. Graef ("The Estate") hereinafter referred to