NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00298 Sharon A. Richards, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: ~~~ For Claimant, Sharon A. Richards, ("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, ("R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00295 Jeanne Simonini, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Jeanne Simonini, ("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, E

,11/16/2004 08:43 ! v PAGE 02/0? NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION Case: 03-4)0294 Rick A. Sawyer, Claimant v. Chigroup Global Markets flea Salomon Smith Barney, Inc., and Jack B. Grubrnan, Respondent ATTORNEYS: Claimant: Rick A. Sawyer, appeared James Richard Hooper, Esq., & Robert H. Weiss, Esq. of Hooper & Weiss, LLC Respondent: Citigroup Global Markets fka Salomon Smith Barney, Inc., and Jack B. Grubman, appeared

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00293 Norris Logan and Barbara D. Logan, Claimants vs. Salomon Smith Barney Inc., n/k/a/ Citigroup Global Market, Inc., and Jack Grubman, Respondents. ATTORNEYS: For Claimants, Norris Logan and Barbara D. Logan ("Claimants"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando FL. For Respondents, Salomon Smith Barney, Inc., n/k/a/ Citigroup Global Markets, Inc.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00292 June Fox, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, June Fox, ("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"), appeared B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00291 Thomas W. Eaton 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. REPRESENTATION OF PARTIES For Thomas W. Eaton, hereinafter referred to as "Claimant": Michael B. Lynch, Esq., H

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00290 Merrill Bell and Zita Bell, Claimants vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: " " " " For Claimants Merrill Bell and Zita Bell ("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

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00289 The R A Busemeyer Atheist Foundation, Claimant vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: ' ~ ~ ~ — - — . _ — _____ For Claimant, The R A Busemeyer Atheist Foundation, ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00288 """" Dale and Marlene Lux, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: ~~ ^ ~ ~ ~ ~ ~ ~"~~~"~~~^ '~" For Claimants, Dale and Marlene Lux, ("Claimants"), appeared James Richard Hooper, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc, and Ja

NASD DISPUTE RESOLUTION AXVAM) NASD DISPUTE RESOLUTION CASE: 03-00286 Patrick & Patricia Sweeney, Claimants v. Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents. ATTORNEYS: ~ For Claimants, Patrick & Patricia Sweeney, ("Claimants"), appeared James Richard Hooper, Esq., Hooper & Weiss, L.L.C., Orlando, FL. For Respondents, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack B. Gr