p.l ©003 NASB DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06464 j i Nancy G Boczon IRA, Claimak v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney r Inc. aM lack B, Grubmin, Respondents. ATTORNEYS; [ For Claimant, Nancy G. Boczon IRA, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas E, GHt^o, P.A., Orlando, FL. * For Respondents, Citigroup Glottal Markets, Inc. f/k/a Salomon S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06460 Sanford D. Crawford, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Sanford D. Crawford, ("Claimant"), 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 Barney, Inc. and Jack B. Grubm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06459 Allen Brooks Shevach, IRA Elizabeth W. Shevach, IRA 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 Allen Brooks Shevach, IRA and Elizabeth W.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06457 Richard E. Berkowitz Name of the Respondent Hearing Site: Atlanta, Georgia CIBC World Markets Corporation Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Richard E. Berkowitz, hereinafter referred to as "Claimant": Frank S. James, III, Esq., Baker, Donelson, Bearman, Caldwell & Berkowitz, P.C., Bir

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06454 Adrian G. Magrath Trust Names of the Respondents Hearing Site: Boca Raton, FL 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 Adrian G. Magrath Trust ("Magrath*'), hereinafter referred to as "Claimant"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01686 Multi-Financial Securities Corporation, claimant vs. James J. Albright, respondent. ATTORNEYS: For Claimant appeared Jennifer L. Carr, Esq, of the firm Rothgerber Johnson & Lyons, LLP, Denver, CO. Respondent appeared Pro Se, Racine, WI. DATE FILED: April 4, 2001 CASE SUMMARY: Claimant alleged that respondent breached his employment contract when he failed to repay an unsec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Henry G. Schwartz Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Case Number: 03-06453 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Henry G. Schwartz, hereinafter referred to as "Claimant": Douglas H. G

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06451 Paul R. and Joan T. Davis Names of the Respondents Hearing Site: Philadelphia, PA Richard F. Hughes, Jr. Hudspeth/Browne Group Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Associated Person, Non-Member and Member REPRESENTATION OF PARTIES Claimants, Paul R. and Joan T. Davis, here

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between . Name of Claimants Ervin General Partnership, Dennis Smith, M.D. and Julie Benner Smith, Edward and Camille Underwood, Eric and Karen Saul and L. Lee Lancaster, M.D. and 03-06449 Nashville, Tennessee Name of Respondents J.J.B. Hilliard, W.L. Lyons, Inc. LeLand Shawn Breskow Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-06448 Country Club Financial Services, Inc., and Country Club Bank Name of the Respondent Hearing Site: Kansas City, Missouri Jeffrey L. Cole NATURE OF THE DISPUTE Member Firm and Non-Member Firm v. Associated Person REPRESENTATION OF PARTIES John D. Dunbar, Esq., of the firm Daniels & Kaplan, PC, with offices located in Kansas C