f NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00310 Richard Wilcox, Claimant vs. Citigroup Global Markets, Inc f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman., Respondents ATTORNEYS: For Claimants, Richard Wilcox, ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents, Citigroup Global Markets, Inc f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00307 Larry Andrews, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Larry Andrews, ("Claimant"), appeared James Richard Hooper, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), appeared Bradford D. Kaufman, Esq., West

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00305 Louis and Judith Freeman, Claimants v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimants, Louis and Judith Freeman, ("Claimants"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. G

1. j"' NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00304 '~ Dennis Berg TTEE FBO Dennis Berg, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Dennis Berg TTEE FBO Dennis Berg, ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, LLC, Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Ba

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04324 William C. Carlson, Claimant vs. Interactive Brokers LLC, Respondent. ATTORNEYS: Claimant appeared Pro Se, Peoria, IL. For Respondent appeared Bradford L. Jacobwitz, Vice President, Legal and Compliance, Interactive Brokers LLC, Greenwich, CT. DATE FILED: September 29, 2000 CASE SUMMARY: Claimant alleged that respondent failed to adjust the shares of HTD in his account to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00303 Gerard Gallagher, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Gerard Gallagher, ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Responden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00302 Randy A. Nadelhaft and Glory Nadelle, Claimants v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimants Randy A. Nadelhaft and Glory Nadelle (collectively "Claimants") appeared James Richard Hooper, Esq. of the firm Hooper & Weiss, L.L.C., Orlando, FL For Respondents Citigroup Global Markets, Inc. f7k/a Salomon Smith

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00301 Marcia L. Reider, Claimant v. Citigroup Global markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: ~~~ For Claimant Marcia L. Reider ("Claimant") appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents Citigroup Global Markets, Inc f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, (collectively

NASD DISPUTE RESOLUTION AWARD ^ NASD DISPUTE RESOLUTION CASE: 03-00300 Susanne Wade, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Susanne Wade, ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, ("Respondents"),

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00299 Gloria Costanzo IRA, Claimant vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Gloria Costanzo, ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respond