Award NASD Dispute Resolution In the Matter of the Arbitration Between: Austin G. Habib (Claimant) v. Morgan Stanley DW, Inc., Geoffrey Mann, and A. Michael Nemeth (Respondents) Case Number: 03-04888 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Austin G. Habib ("Habib") hereinafter referred to as "Claimant": James A. Prestiano, Esq. And Billy Vassos, Esq., The La

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION* INC. CASE: 01-01512 Ed D. Davis and Elizabeth M. Davis, claimants vs. Joseph J. Piscopo, respondent. ATTORNEYS: Claimants appeared pro se, Austin. TX. Respondent did not respond to the Statement of Claim. DATE FILED: March 27, 2001 CASE SUMMARY: Claimants alleged that respondent purchased 10,000 shares of WTS Netcruise.com without their approval. Claimants maintained that due to respondent's act

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:03-04882 Seymour A. Zitovsky and Lila R. Zitovsky, JTWROS, Claimants v. Citigroup Global Markets, Inc. f/k/a Slomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: ~~ For Claimants, Seymour A. Zitovsky and Lila R. Zitovsky ("Claimants") appeared James R. Hooper, Esq. of Hooper & Weiss, L.L.C., Orlando, Florida. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill A. Tanner, Trustee FBO Merrill A. Tanner Revocable Trust Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04880 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Merrill A, Tanner, Tru

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Muriel Israel Trustee FBO Muriel Israel Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Case Number: 03-04877 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Muriel Israel Trustee FBO Muriel Israel, hereinaf

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04876 Gertrude Marks, Claimant v. Citigroup Global Markets, Inc. ffk/a Salomon Smith Barney, Inc. and Jack B. Gnibman, Respondents ATTORNEYS: For Claimant Gertrude Marks ("Claimant") appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents Citigroup Global Markets, Inc. flk/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively "Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04875 Roy P. Flaherty, 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 Roy P. Flaherty, IRA, hereinafter referred to as "Claimant": William Young, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION jt r . CASE: 03-04874 Sheldon Klein, Claimant v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack B. Gnibman, Respondents. ATTORNEYS: ' ~~~ ~ " ~ ~ ~ ~ " ~~ For Claimant Sheldon Klein ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hopper & Weiss, LLC, Orlando, FL. For Respondents Citigroup Global Markets, Inc., f/k/a Salomon Sm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04872 Gayle E. Hassinger 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 Gayle E. Hassinger, hereinafter referred to as "Claimant": Michael B. Lynch, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04866 Irving G. Miller and Darlene R. Miller, JTWROS Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Irving G. Miller and Darlene R. Miller, JTWROS, hereina