NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03842 Dolores M. Maddox, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman s Respondents ATTORNEYS: For Claimant, Dolores M. Maddox, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tbff Plaimant Case Number: 04-03841 Virginia Smith Virginia Smith IRA Names nf tfip Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Andrew Joseph Garber Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTF.S Claimant, Virginia Smith, individually and on behalf of her IRA, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Sigurd C. Sandzen Names of the Respondents Citigroup Global Markets, Inc. Carl Livingston Truluck, Jr. flSft Number: 04-03838 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer v. Member and Associated Person. RFPRF.SKNTATTON OF PARTIES Claimant, Sigurd C. Sandzen, hereinafter referred to as "Claimant", was represented by Ronald

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00130 Kenneth Greenblatt Name of the Respondents Hearing Site: Boca Raton, Florida Comprehensive Capital Corporation and Ronald A. Brodis Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Kenneth Greenblatt ("Greenblatt"), hereinafter referred to as "Claimant": Ezio Scaldaferri, Esq., Feder, Kaszovitz, Isaa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03834 John England, Jr. Kathleen F. England Names of the Respondents Hearing Site: Tampa, Florida Stanley D. Romaine, III Stanley Daniel Romaine, Jr. Romaine Financial American Skandia Marketing, Inc. Common Wealth Financial Network Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. Withbert Payne and Rosemary Payne, individually and as Trustees of the Withbert and Rosemary Payne Living Trust, and Starcare International, Inc., Respondents Withbert Payne and Rosemary Payne, individually and as Trustees of the Withbert and Rosemary Payne Living Trust, and Starcare International, Inc. Counter-Claimants v. Charles Schwab & Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Geoffrey Scott Paul, Claimant v. CIBC World Markets Corp., Respondent Case Number: 04-03827 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Geoffrey Scott Paul: Michael Blumenfeld, Esq. Catherine L. Rhodes, Esq. Freeman, Freeman & Smiley, LLP Los Angeles, California For CIBC World Markets Corp.: Miche

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chris A. Melton, Claimant v. Bruce Marinace, as Conservator for the Estate of Josephine Marinace, Respondent Case Number: 04-03824 Hearing Site: San Diego, California Nature of the Dispute: Associated Person v. Customer REPRESENTATION OF PARTIES For Claimant: For Respondent: Brian T. Rafter, Esq. Steefel, Levitt & Weiss San Francisco, California Timothy D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc., Claimant v. Gregg Shawzin, Respondent Case Number: 04-03820 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Eric J. Shames, Esq. Oppenheimer & Co. Inc. New York, New York For Respondent: Gregg Shawzin Beverly Hills, California CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03815 Douglas Motzer Cletus Morgan Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, f/k/a Salomon Smith Barney Kevin Durkin Purcell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cletus Morgan ("Morgan") and Douglas Motzer ("Motzer"), hereinafter col