Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06309 Carole S. Rice Names of the Respondents Hearing Site: New Orleans, Louisiana Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Carole S. Rice, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Philad

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06295 James R. Rush ^Tame of the Respondent ffearing Site: Dallas, Texas Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Claimant James R. Rush, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., located in Philadelphia

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00289 First Allied Securities, Inc., claimant vs. Barry Bruner, respondent. ATTORNEYS: For Claimant appeared Marion J. Vomhof, Esq., in-house counsel, San Diego, CA. Respondent appeared Pro Se, Denver, CO. DATE FILED: January 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay a Forgivable Loan. Claim Data Claim: $9,253.45 Interest: pre- and post judgemen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant RBC Dain Rauscher, Inc. Name of the Respondent Scott William Stubbe Case Number: 04-06289 Hearing Site: Milwaukee, Wisconsin Nature of the Dispute: Member Firm vs. Associated Person REPRESENTATION OF PARTIES Claimant, RBC Dain Rauscher, Inc. ("RBC"), hereinafter referred to as "Claimant": Jonathan M. Harris, Esq. and Sandra S. Smalley, Esq. of th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Notine, III and Estate of Robert Notine, Jr. (Claimants) v. LH Ross & Co., Inc. and Franklyn R. Michelin (Respondents) Case Number: 04-06286 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Notine, III and Estate of Robert Notine, Jr. ("the Estate") hereinafter referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marsha Kline, Claimant v. Mo Belafkih, Respondent Case Number: 04-06282 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondent: Mo Belafkih In Propria Persona Los Angeles, California CASE INFORMATION

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06280 Citigroup Global Markets, Inc., Elena Cuoco, and Lawrence Kastin, Claimants v. Ernest Giacopelli, Respondent ATTORNEYS: "" "~ " For Claimants Citigroup Global Markets, Inc., Elena Cuoco, and Lawrence Kastin (collectively "Claimants") appeared Erika Schneider Downes, Esq., of the firm Bressler, Amery & Ross, P.C., Morristown, NJ. For Respondent Ernest Giacopelli ("Respondent") appea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06276 Michael J. McNamara (Claimant) v. Gargoyle Strategic Investments, LLC, Bruce Thomer RogofF, Joshua Benjamin Parker, and Charles Goodgal (Respondents) ATTORNEYS: ~~ " Claimant Michael J. McNamara ("Claimant") appeared/?™ se, Greenburgh, NY. For Respondent Gargoyle Strategic Investments, IXC appeared Charles Goodgal, Chief Executive Officer, Gargoyle Strategic Investments, LLC, Eogtewood

CASE: 04-06274 • Timothy Richard McBride, Claimant v. Crown Financial Services, inc., Respondent ATTORNEYS: Claimant Timothy Richard McBride ("Claimant") appeared pro se, Staten Island, NY. For Respondent Crown Financial Group, Inc. ("Respondent") appeared Philip T. Frank, Esq., in- house counsel, Crown Financial Group, Inc., Jersey City, NJ. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: August 25, 2004. CASE SUMMARY: Claimant alleged tha

AUS-18-E005 00=21 FROM:N A S D 646-625-6027 70:91301 Award NASD Dispute Resolution 5274780 In the Matter of the Arbitration Between: Renee Lcm-Newinan (Claimant) v, Citigroup Global Markets, Inc., f/k/a Salorr Inc. (Respondent) Case Hurnber: 04-06270 HearirigSite: New on Smith fork, Nevj York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Renee Lem-Newman (''Newman") hereinafter referred to as "Clai