AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Andrea Enterprises, LLC and Andrea Claire Wagenhals and 01-01549 Phoenix, Arizona Name of Respondent US Bancorp Piper Jaffray Inc. REPRESENTATION OF PARTIES Andrea Enterprises, LLC and Andrea Claire Wagenhals ("Claimants") were represented by Rosemary J. Shockman, Esq., Shockraan Law Offices, P.C., Scottsdale, Arizona. US Bancorp Piper Jaffray Inc. (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carolyn Coombes IRA, and Derek W. Coombes IRA (Claimants) v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-05296 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Carolyn Coombes IRA ("C. Coombes"), and Derek W. Coombes IRA ("D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seymour L. Pollack (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-05295 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Seymour L. Pollack ("Pollack") hereinafter referred to as "Claimant": James Richard Hooper, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Leon H. Toups, Jr., IRA Names of the Respondents Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 03-05294 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leon H. Toups, Jr., IRA, hereinafter referred to as "Claimant": Mic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Norman Somberg and Paula M. Somberg, JTWROS Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 03-05291 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Norman Somberg and Paula M. Somberg,

—Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Bet Tarrant Names nf the Respondents Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. Jack B. Grubman r- 03-05288 Hearing Site! Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRKSKNTATTON OF PARTTF.S Claimant, Bet Tarrant, hereinafter referred to as "Claimant", was represented by James

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Chrysanthy Ricciardi, IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 03-05286 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Chrysanthy Ricciardi, IRA, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Stephen and Kay Bolf Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman P.ase Number- 03-05283 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRRSKNTATTON OF P ARTIES Claimants, Stephen and Kay Bolf, hereinafter referred to as

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05280 Alan I. Nachman, (Claimant) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Michael B. Lynch, Esq., of the firm Hooper & Weiss, LLC, Orlando, FL. For Respondents appeared John D. Perry, Esq., of the firm Greenberg Traurig, P.A., Boca Raton, FL. NATURE OF DISPUTE: Customer v. Member and Associate

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jack S. Nachman Names of the Respondents Citigroup Global Markets, Inc. Jack B. Grubman Case Number: 03-05279 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jack S. Nachman, hereinafter referred to as "Claimant": Michael B. Lynch, Esq., Hooper & Weiss, L.L.C.,