CASE: 04-03882 Luana D. Strickland, Claimant v, Citigroup Global Markets, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant D. Strickland ("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 "Respondents") appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig, P.A., New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03881 Susan Marie Adams IRA 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 Susan Marie Adams IRA, hereinafter referred to as "Claimant": Douglas H. Glic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03879 Howard S. Tuttman and Marilyn Tuttman JTWROS Names of the Respondents Hearing Site: Boca Raton, 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 Howard S. Tuttman and Marilyn Tuttman JTWROS, hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lillian Horowitz Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Case Number: 04-03878 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lillian Horowitz, hereinafter referred to as "Claimant": Douglas H. Glic

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc. (Claimant) v. Thomas Worley (Respondent) Case Number: 01-00134 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, First Union Securities Inc., ("Claimant") was represented by Edward A. Walton, Esq. of Kane & Fisher, Ltd, Chicago, Illinois. Respondent, Thomas S. Worley ("Respondent") of Spring Texas represented himself. CASE IN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03876 Madelyn Y. Lowe Names of the Respondents Hearing Site: Boca Raton, 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 Madelyn Y. Lowe, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq., L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03871 Yong Dong, Claimant v. TD Waterhouse Investor Services, Inc., Respondent ATTORNEYS: For Claimant Yong Dong ("Claimant") appeared Sara B. Davis, Esq., of the firm Perkins Smith & Cohen, LLP, Boston, MA. For Respondent TD Waterhouse Investor Services, Inc. ("Respondent") appeared Janis Campanella, Esq., in-house counsel, TD Waterhouse Investor Services, Inc., Boca Raton, FL. NATURE O

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03870 Oliver Beirne Chisolm, Jr., Claimant v. Greenwich Global, LLC, Respondent ATTORNEYS: Claimant Oliver Beime Chisolm, Jr. ("Claimant") appeared pro se, Asheville, NC. For Respondent Greenwich Global, LLC ("Respondent") appeared Randall C. Schauer, Esq., of the firm Fox Rothschild, LLP, Exton, PA. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: May 28, 2004. CASE SUMM

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Nicole C. Newton and Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., Scott C. Tater, Raymond B. Wert, II, The Wert Group and Spickler-Wert Group Case Number: 04-03854 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member, Associated Persons and Non-Members REPRESENTATION OF PARTIES Nicole C. Newton ("Claimant") was r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia DiRaffaele (Claimant) v. MetLife Securities, Inc. and David Disunno (Respondents) v. Rosario DiRaffaele (Third Party Respondent) Case Number: 04-03845 Hearing Site: New York, NewYork Nature of the Dispute: Customer v. Member and Associated Person v. Customer REPRESENTATION OF PARTIES Claimant Patricia DiRaffaele ("P. DiRaffaele") hereinafter referred to as "Claim