AWARD 11/11/05 NASD Dispute Resolution. Inc. CASE No. 03-05278 In the Matter Of: Claimant: Audrea Weitzman Respondents: Citigroup Global Markets, Inc Salomon Smith Barney Inc Jack B. Grubman Hearing Site: One Liberty Plaza, 165 Broadway, 27 th Fl; Mediation Room B [11/9/05 and 11/10/05] NYC. Dates of Final Hearing: October 27, 2005; Nov 9, 2005; Nov 10, 2005; Nov 11, 2005 Nature of Disputg: Customer vs. Member and Associated Pers

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Brian Howard Woodrow and Howard S. Woodrow and Name of Respondent Charles Schwab & Co., Inc. Case Number: 01-01544 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Brian Howard Woodrow and Howard S. Woodrow ("Claimants") were represented by Susan Payne Woodrow, Esq., Waterford, Michigan Charles Schwab & Co., Inc. ("Respondent") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Clayton Evans and Susan Parmele Evans, JTWROS, and Richard Clayton Evans IRA (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-05273 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Richard Clayton Evans and S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05270 Carol Bubeck 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 Carol Bubeck, hereinafter referred to as "Claimant": James Richard Hooper, Esq. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants iTed J. Sampey, IRA Betty A. Sampey, IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-05269 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ted J. Sampey, IRA and Betty A. Sampey, IRA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kathy Cordero Names of the Respondents Citigroup Global Markets, Inc., file/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-05264 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kathy Cordero, hereinafter referred to as "Claimant": Michael B. Lynch,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05258 David Hunter, (Claimant) vs. Citigroup Global Markets, Inc., and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated^erson DATE FILED

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05257 Carl M.McDaniel, IRA Names of the Respondents Hearing Site: Orlando, 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 Carl M. McDaniel, IRA, hereinafter referred to as "Claimant": William B. You

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank lovanella (Claimant) v. Salomon Smith Barney (Respondent) Case Number: 03-05254 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Frank lovanella ("lovanella") hereinafter referred to as "Claimant": W. Thomas Smith, Esq., Sugarman & Sugarman PC, Boston, MA. Respondent, Salomon Smith Barney n/k/a Citigroup Glo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Steve Dwyer and Barbara Dwyer v. 03-05250 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and James A. Betzig Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Steve Dwyer and Barbara Dwyer ("Claimants") were represented by Steve A. Miller, Esq., Denver, Colorado. Merrill Lynch Pierce Fenner & Smit