Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05260 Frederick and Zadie Schwendel JTWROS Names of the Respondents Hearing Site: Boca Raton, 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 Frederick and Zadie Schwendel JTWROS, hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sherrie Quinton, Claimant v* Ragen MacKenzie, Inc., Respondent Case Number: 01-00213 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni & Youtz Seattle, Washington For Respondent: Michael J. Lawson, Esq. Steefel Levitt & Weiss San Francisco, California CASE INFORMATION Statement of Claim filed on or about: Janu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles C. Tibbetts and Richard S. Kelsey, Claimants v. Joanne M. Dunlap and Mutual Service Corporation, Respondents Case Number: 00-00590 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Charles C. Tibbetts In Pro Per Orange, California For Respondents: Kari S. Turigliatto, Esq. Mutual Service Corporation Irvine, California CA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimant Case Number: 04-05257 Joyce Teerling T.O.D. L.L. Teerling, L.S.Walsh 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. For Joyce Teerling T.O.D. L.L., Teerling, L.S. Walsh, hereinafter referred to as "C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05253 Mildred Werner Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Jon K. Finstrom Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mildred Werner, hereinafter referred to as "Claimant": Wm. Jemison Mims, Jr., Esq., Levin, Papanton

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05252 Ramallah Trading Co., Inc., Claimant v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: " ' For Claimant, Ramallah Trading Co., Inc., ("Claimant"), appeared Richard J. Lantinberg, Esq., of the firm Farah, Farah & Abbot, P.A., Jacksonville, FL. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05251 Deena Batch Doany, Claimant v. Citigroup Global Markets, Inc. f/k/a. Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Deena Batch Doany ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper Ridge & Lantinberg, Jacksonville, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collect

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05250 James A. Batch, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant James A. Batch ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper, Ridge & Lantinberg, Jacksonville, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05249 Essa M. Batch, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Essa M. Batch ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper Ridge & Lantinberg, Jacksonville, FL, Eddie E. Farah, Esq., of the firm Farah, Farah & Abbott, P.A., Jacksonville, FL, and Wm. Jemison Mims, Jr., Esq., of the

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05248 Robert A. Bateh and Angela F. Bateh, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimants, Robert A. Bateh and Angela F, Batch, ("Claimants"), appeared Richard J. Lantinberg, of the firm Farah, Farah & Abbot, P. A., Jacksonville, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Bar