____________________________________________________________________________________ National Association of Securities Dealers 9509 Key West Avenue Rockville, MD 20850 (800) 289-9999 October 14, 2005 NASD BROKERCHECK RESPONSE TO REQUEST FOR INFORMATION The Board of Governors of the National Association of Securities Dealers, Inc. (NASD) has adopted a public disclosure policy which permits certain types of disciplinary information on NASD member firms and their associated persons to be available to the general public. Section 15A(i) of the Securities Exchange Act of 1934, as amended, requires registered securities associations to respond to inquiries regarding disciplinary actions involving its members and their associated persons. NASD believes that the general public should have access to information which will help them in their determination whether to conduct or continue to conduct business with an NASD member or any of the member's associated persons. In that regard, enclosed please find the information that you have requested. A list of the terms and conditions of NASD BrokerCheck is as follows: NASD BrokerCheck Terms and Conditions 1. NASD collects, compiles, organizes, indexes, digitally converts and maintains regulatory information from registered persons, member firms, government agencies and other sources and maintains information in the proprietary Central Registration Depository ("CRD(r)") database and system. NASD releases such information through NASD BrokerCheck, which provides information from CRD system to the investing public. Your access to NASD BrokerCheck information provided through NASD's CRD database and system does not transfer any rights in CRD, NASD BrokerCheck or related technologies to you. 2. Your use of NASD BrokerCheck information is conditioned upon your acceptance, without modification, of all terms and conditions of this Agreement. Any information accessed, requested or provided through NASD BrokerCheck must be accessed, requested and used in accordance with the terms and conditions specified in this Agreement. NASD reserves any rights not expressly granted under these terms and conditions. Additionally, NASD reserves the right, at its sole discretion, to modify the terms and conditions for use of NASD BrokerCheck information at any time by changing this Agreement, and any changes are effective immediately. Such changes will be posted on the NASD BrokerCheck web site. 3. CRD and NASD BrokerCheck are proprietary databases and employ proprietary software, but NASD makes no exclusive proprietary claim to the information in the NASD BrokerCheck system that is not created by NASD. You are neither restricted nor prohibited by NASD from obtaining a copy of any original filing or information from a non-NASD source. 4. 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Provision of information by NASD pursuant to NASD BrokerCheck does not constitute a waiver of any of NASD's rights, privileges, or immunities with respect to the furnishing of disciplinary or registration information. 8. NASD does not charge for this service, which is offered pursuant to NASD's responsibilities as a self-regulatory organization, and, in particular, pursuant to Section 15A(i) of the Securities Exchange Act of 1934. In the provision of this service, NASD makes no warranties of any kind, and disclaims liability to any person for any actions taken or omitted in good faith with respect to this NASD BrokerCheck. NASD is not responsible for and cannot verify information from sources other than NASD, and does not warrant or guarantee the accuracy or completeness of the information requested. 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In certain limited circumstances, disclosure information may not be available through NASD BrokerCheck within the usual timeframe, but will be made available as soon as practicable. 10. Consistent with policies and procedures approved by the Securities and Exchange Commission (SEC), NASD will disclose information on individuals and brokerage firms, through NASD BrokerCheck, for two years after the termination of the individual's or brokerage firm's NASD registration. Disclosure information reported to NASD after an individual or brokerage firm has terminated may not have been reviewed by the brokerage firm or individual; in addition, brokerage firms and individuals who are no longer registered are not required to independently report such information. 11. NASD BrokerCheck includes only information provided to CRD. In substantially all cases, the information provided through NASD BrokerCheck represents the verbatim record as it was reported to NASD. However, in certain limited circumstances, NASD combined information about a single event that was reported by different sources (e.g., a record reporting information on an event that was submitted by a brokerage firm may contain information reported on the same event that was submitted by a regulator). This condition occurred when the data in the Legacy CRD system was converted (i.e., reformatted and transferred) to Web CRD, the Internet-based Central Registration Depository. This condition affects a small percentage of records reported to NASD prior to August 1999. These converted records contain information that was reported to NASD in accordance with appropriate reporting protocols applicable to the source filers (e.g., brokerage firms and regulators); however, because of the combination of information from different reporting sources, a record disclosed through NASD BrokerCheck may not reflect the actual filing submitted to NASD. 12. The "Individual Broker comments," "Brokerage Firm comments" and "Regulator comments" appear verbatim as they were provided to CRD via Forms U-4, U-5, and U-6. These comments were not written by NASD and have not been edited by NASD in any way. NASD reserves the right to redact customer names, confidential customer information, or offensive or potentially defamatory language from an NASD BrokerCheck Report consistent with policies and procedures approved by the SEC. TC 02.1 General Information About this Report This report has been generated because you have requested information about an NASD Member Firm through NASD BrokerCheck. The information contained within this report has been provided by NASD brokerage firm and securities regulators as part of the securities industry's registration and licensing process. An NASD BrokerCheck report for a Brokerage Firm consists of: 1) a Report Summary; 2) General Administrative Information, which includes the Types of Business the Brokerage Firm is engaged in, the Brokerage Firm's Legal Status, and the Brokerage Firm's Approved Registrations. The report also includes the Brokerage Firm's Disclosure Event information, if any. NASD BrokerCheck discloses the following information on brokerage firms: * the brokerage firm's name, CRD number, SEC identification number, "applicant name" or legal name, NASD district office which oversees the brokerage firm, and the brokerage firm's main and mailing addresses * the types of business in which the brokerage firm is currently engaged * details of the brokerage firm's legal status (i.e, corporation, partnership, etc.), state or country and date of formation, and its fiscal year end * all approved registrations * disclosure matters involving certain criminal charges and convictions, regulatory actions, civil judicial actions, and certain financial actions (e.g., bankruptcies, unsatisfied judgment/liens.) When evaluating this report, please keep in mind that a number of items may involve pending actions or allegations that may be contested and have not been resolved or proven. The items may, in the end, be withdrawn or dismissed, or resolved in favor of the brokerage firm, or concluded through a negotiated settlement with no admission or conclusion of wrongdoing. Also remember that the information in this report is not the only resource you should consult. It is recommended that you learn as much as possible about the brokerage firm from other sources. Ask for references. Ask family members or friends who already have established investment business relationships. Get in touch with local consumer and investors groups. Should you have any questions concerning information contained within this report, call (800) 289-9999 - a toll-free NASD BrokerCheck hot-line operated by NASD - or visit NASD Web Site at www.nasd.com. When calling or visiting the NASD Web Site, the information you will need includes the brokerage firm's name or CRD number. For definition of terms contained within this report or answers to Frequently Asked Questions, visit the Glossary or FAQs sections of NASD BrokerCheck at www.nasd.com. NASD BrokerCheck Report Printing Instructions The report contained below can be printed as is. However, unless the following steps are taken, the report may not print with the headers aligned or the text may run off the page. For the following report to be printed correctly, the following formatting steps must be completed: 1) Copy the text of the report into a text editor. 2) Delete these instructions down to and including the first dashed line. 3) Set the Font for the entire report to Courier, 8 point. 4) Set the left and right margins to 0. 5) Set the top and bottom margins to 0. Because every printer allows a different number of lines per page, the margins may have to be adjusted differently to get the headers to line up at the top of each page. The document is formatted to print 90 lines per page at the specified font. 6) Print the report. -------------------------------------------------------------------------------- NASD BrokerCheck October 14, 2005 Page 1 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 ******************************************************************************** REPORT SUMMARY ******************************************************************************** ************************************************************ Administrative Information: ************************************************************ Admin Information: Information that is required to be reported to NASD by brokerage firms via Form BD (Uniform Application for Broker-Dealer Registration). The administrative information contained in this report includes: (a) types of business the brokerage firm is engaged in; (b) legal status (e.g., corporation, partnership, sole proprietorship, limited liability company, etc.), state/country of formation unless legal status is sole proprietorship, date of formation, and month in which the brokerage firm's fiscal year ends; and (c) all approved registrations with the SEC, NASD and state securities commissions. Types of Business: 26 Legal Status: 1 Registrations: 63 ************************************************************ Disclosure Events: Yes ************************************************************ Disclosure Event: Information that is required to be reported to NASD by individual brokers via Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and brokerage firms via Form BD (Uniform Application for Broker-Dealer Registration). Some disclosure events may have multiple reporting sources. For example, some information required to be reported by an individual broker via Form U-4 may also be reported on the individual broker's record by a brokerage firm via Form U-5 (Uniform Termination Notice for Securities Industry Registration) and/or by a regulator via Form U-6 (Uniform Disciplinary Action Reporting Form). If a disclosure event is reported by multiple sources, all versions of the reported event will be disclosed on the individual broker's NASD BrokerCheck report. Similarly, some information required to be reported by a brokerage firm via Form BD may also be reported on the brokerage firm's record via Form U-6. If a disclosure event is reported by multiple sources, all versions of the reported event will be disclosed on the brokerage firm's NASD BrokerCheck report. Criminal Actions: 0 Regulatory Actions: 263 Civil Judicial Actions: 2 Arbitrations: 1184 Bonds: 0 Bankruptcies: 0 Judgment/Liens: 0 NASD BrokerCheck October 14, 2005 Page 2 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 ******************************************************************************** ADDRESS/GENERAL INFORMATION ******************************************************************************** This section provides the brokerage firm's name, CRD number, SEC number, Applicant Name on Form BD, NASD District where the brokerage firm is located, and the brokerage firm's main and mailing addresses. Applicant Name on Form BD: CITIGROUP GLOBAL MARKETS INC. SEC Number: 8-008177 Prior Business Names: SALOMON SMITH BARNEY INC. SMITH BARNEY INC. SMITH BARNEY SHEARSON INC. SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED Business Phone Number: 212-816-6000 Main Office Address Located in NASD District: 10-New York 390 - 388 GREENWICH STREET NEW YORK, NY 10013-2396 Mailing Address REGISTRATION DEPARTMENT 333 WEST 34TH STREET, 7TH FLOOR NEW YORK, NY 10001 ******************************************************************************** TYPES OF BUSINESS ******************************************************************************** This section lists the type(s) of business that the brokerage firm is currently engaged in as reported on the Form BD. Broker or dealer selling corporate debt securities Broker or dealer retailing corporate equity securities over-the-counter Broker or dealer involved in a networking, kiosk or similar arrangement with a bank, savings bank or association, or credit union Exchange member engaged in exchange commission business other than floor activities Exchange member engaged in floor activities Government securities broker Government securities dealer Investment advisory services Broker or dealer making inter-dealer markets in corporate securities over-the-counter Mutual fund retailer Mutual fund underwriter or sponsor Broker or dealer selling interests in mortgages or other receivables Municipal securities broker Municipal securities dealer Broker or dealer selling securities of non-profit organizations (e.g., churches, hospitals) Broker or dealer selling oil and gas interests Put and call broker or dealer or option writer Private placements of securities Solicitor of time deposits in a financial institution Broker or dealer selling tax shelters or limited partnerships in the secondary market Trading securities for own account Underwriter or selling group participant (corporate securities other than mutual funds) Broker or dealer selling variable life insurance or annuities 10Y TAXABLE MUNICPAL SECURITIES DEALER 11B SBHU LIFE AGENCY,INC. AND SUBSIDIARIES ENGAGE IN THE SALE OF VARIABLE ANNUITY CONTRACTS, VARIABLE LIFE INSURANCE AND OTHER INSURANCE PRODUCTS. Effects transactions in commodity futures, commodities, commodity options as broker for others or dealer for own account ******************************************************************************** LEGAL STATUS ******************************************************************************** This section details the brokerage firm's legal status (i.e, corporation, limited partnership, etc.), state or country where formed, date of formation, and the month the brokerage firm's fiscal year ends. Legal Status: CORPORATION State/Country of Formation: NY Date of Formation: 10/15/1998 Fiscal Year End: DEC ******************************************************************************** NASD BrokerCheck October 14, 2005 Page 3 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGISTRATIONS ******************************************************************************** This section provides the jurisdictions in which the brokerage firm is registered or licensed to do business, the category of each registration, and the date on which the registration was granted. Jurisdiction/SRO Category Status As Of Date AK Broker Dealer Approved 11/17/1969 AL Broker Dealer Approved 10/24/1981 AMEX Broker Dealer Approved 02/25/1988 AR Broker Dealer Approved 01/01/1968 AZ Broker Dealer Approved 02/02/1976 BSE Broker Dealer Approved 01/02/1997 CA Broker Dealer Approved 07/28/1999 CBOE Broker Dealer Approved 06/17/1981 CHX Broker Dealer Approved 02/02/1986 CO Broker Dealer Approved 02/01/1983 CT Broker Dealer Approved 05/19/1960 DC Broker Dealer Approved 04/21/1983 DE Broker Dealer Approved 10/06/1981 FL Broker Dealer Approved 04/27/1983 GA Broker Dealer Approved 09/22/1981 HI Broker Dealer Approved 10/08/1998 IA Broker Dealer Approved 07/15/1983 ID Broker Dealer Approved 01/01/1968 IL Broker Dealer Approved 06/09/1960 IN Broker Dealer Approved 10/21/1981 ISE Broker Dealer Approved 05/25/2000 KS Broker Dealer Approved 02/01/1976 KY Broker Dealer Approved 07/16/1982 LA Broker Dealer Approved 04/20/1983 MA Broker Dealer Approved 07/31/1981 MD Broker Dealer Approved 10/03/1981 ME Broker Dealer Approved 02/14/1984 MI Broker Dealer Approved 02/03/1983 MN Broker Dealer Approved 07/15/1982 MO Broker Dealer Approved 07/18/1983 MS Broker Dealer Approved 10/14/1981 MT Broker Dealer Approved 04/20/1983 NASD Broker Dealer Approved 10/16/1936 NC Broker Dealer Approved 07/15/1982 ND Broker Dealer Approved 10/21/1981 NE Broker Dealer Approved 10/09/1981 NH Broker Dealer Approved 02/02/1983 NJ Broker Dealer Approved 07/18/1983 NM Broker Dealer Approved 10/07/1981 NSX Broker Dealer Approved 09/07/1989 NV Broker Dealer Approved 07/19/1983 NY Broker Dealer Approved 01/02/1985 NYSE Broker Dealer Approved 11/17/1982 OH Broker Dealer Approved 07/16/1982 OK Broker Dealer Approved 07/17/1982 OR Broker Dealer Approved 10/24/1981 PA Broker Dealer Approved 05/18/1960 PCX Broker Dealer Approved 02/26/1976 PHLX Broker Dealer Approved 01/25/1960 PR Broker Dealer Approved 09/01/1984 RI Broker Dealer Approved 02/01/1983 SC Broker Dealer Approved 10/28/1981 SD Broker Dealer Approved 07/15/1982 SEC Broker Dealer Approved 01/25/1960 TN Broker Dealer Approved 08/17/1981 TX Broker Dealer Approved 07/25/1983 UT Broker Dealer Approved 04/21/1983 VA Broker Dealer Approved 09/23/1981 VT Broker Dealer Approved 02/15/1984 WA Broker Dealer Approved 04/20/1983 WI Broker Dealer Approved 01/03/1938 WV Broker Dealer Approved 09/30/1981 WY Broker Dealer Approved 07/18/1983 NASD BrokerCheck October 14, 2005 Page 4 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 ******************************************************************************** REGULATORY ACTIONS ******************************************************************************** DISCLOSURE INFORMATION This section lists regulatory actions that were reported to CRD and are disclosable through NASD BrokerCheck. Disclosable regulatory actions include formal proceedings initiated by a regulatory authority (i.e., a state securities agency, NASD, New York Stock Exchange, foreign regulatory body, etc.) for a violation of investment-related rules or regulations. In addition, revocations or suspensions of an individual broker's authority to act as an attorney, accountant or federal contractor will appear here. Some of the fields in this section of the report may be blank if the information was not provided to CRD. ** OCCURRENCE COUNTS ** 263 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Reporting Source: The form through which details of the regulatory action was reported to CRD. * Date Reported: The date the regulatory action was reported to CRD. * Initiated By: The name of the securities regulator that initiated the regulatory action (e.g., regulator, foreign financial regulatory authority, self-regulatory organization, federal agency such as SEC, state, etc.). * Date Initiated: Date the regulatory action was initiated. * Docket/Case Number: Docket or case number of the regulatory action. * Employing Brokerage Firm: Brokerage Firm where individual broker was employed when activity occurred that led to the regulatory action. * Allegations: Allegations made against the individual broker leading to the regulatory action. * Current Status: The current status of the regulatory action (i.e., pending, on appeal or final). * Resolution: The resolution of the regulatory action (e.g., acceptance, waiver and consent; decision; decision and order of offer of settlement; order; settled; etc.). * Resolution Date: The date the regulatory action was resolved. * Sanction Details: Additional details regarding any sanctions ordered. * Summary: A summary of the details related to the regulatory action. ******************************************************************************** ******* REGULATORY ACTION (1 of 263) ******* Reporting Source: Regulator (Form U-6) Date Reported: 09/29/2005 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 06/10/2005 Docket/ Case Number: 03-11 AND 03-12 Allegations: THE FIRM VIOLATED EXCHANGE RULES 904 AND 906 BY EXCEEDING APPLICABLE OPTIONS POSITION LIMITS; EXCHANGE RULE 324 AND SEC RULE 17A-3 BY FAILING TO CREATE AND MAINTAIN ACCURATE BOOKS AND RECORDS; AND EXCHANGE RULE 320 BY FAILING TO DEVELOP, MAINTAIN AND ENFORCE REASONABLE SUPERVISORY PROCEDURES CONCERNING OPTIONS POSITION LIMITS. Current Status: Final Resolution: Stipulation and Consent NASD BrokerCheck October 14, 2005 Page 5 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 09/22/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: CENSURE AND $50,000 FINE. Summary: ******* REGULATORY ACTION (2 of 263) ******* Reporting Source: Brokerage Firm (Form BD) Date Reported: 09/22/2005 Initiated By: CHICAGO MERCANTILE EXCHANGE Date initiated: 08/30/2005 Docket/ Case Number: 05-25703-CTRA Allegations: ALLEGATION THAT CITIGROUP GLOBAL MARKETS INC. VIOLATED CHICAGO MERCANTILE EXCHANGE ("CME") RULE 536 ON THE TRADE DATE AUGUST 25, 2005 DUE TO THE FACT THAT THE FIRM'S ORDER TYPE INDICATOR EXCEPTION PERCENTAGE EXCEEDED THE ACCEPTABLE RATE. Current Status: Final Resolution: Decision Resolution Date: 08/30/2005 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: ON 09/19/2005 THE FIRM PAID A MONETARY FINE IN THE AMOUNT OF $1,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ON 08/30/2005 THE FIRM AGREED TO A FINE IN THE AMOUNT OF $1,000.00. ******* REGULATORY ACTION (3 of 263) ******* Reporting Source: Brokerage Firm (Form BD) Date Reported: 09/22/2005 Initiated By: NEW YORK BOARD OF TRADE Date initiated: 08/25/2005 Docket/ Case Number: 2004-045 Allegations: ALLEGATION THAT THE FIRM MAY HAVE VIOLATED COFFEE, SUGAR & COCOA EXCHANGE RULES 1.28(D), 1.28A(B)(I) AND 1.33(B), AND COMMODITY EXCHANGE ACT REGULATIONS 1.35(A) AND 1.35(A-1)(1) BY NOT PROPERLY KEEPING RECORDS OF CUSTOMER ORDERS AND NOT DILIGENTLY SUPERVISING AN EMPLOYEE'S EXCHANGE-RELATED ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 08/25/2005 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $25,000.00 Resolution Details: THE FIRM AGREED TO A CEASE AND DESIST ORDER AND PAID A FINE IN THE AMOUNT OF $25,000.00 ON 08/25/2005. NASD BrokerCheck October 14, 2005 Page 6 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: WITHOUT ADMITTING OR DENYING ANY VIOLATIONS AND SOLELY FOR THE PURPOSES OF CONCLUDING THIS PROCEEDING, CITIGROUP GLOBAL MARKETS INC. (CGMI) HAS AGREED TO SETTLEMENT OF CHARGES BY THE NEW YORK BOARD OF TRADE THAT THE FIRM MAY HAVE VIOLATED COFFEE, SUGAR & COCOA EXCHANGE RULES 1.28(D), 1.28A(B)(I) AND 1.33(B) AND COMMODITY EXCHANGE ACT REGULATIONS 1.35(A) AND 1.35(A-1)(1) BY NOT PROPERLY KEEPING RECORDS OF CUSTOMER ORDERS AND NOT DILIGENTLY SUPERVISING AN EMPLOYEE'S EXCHANGE-RELATED ACTIVITIES. CGMI AGREED TO PAY A $25,000.00 FINE AND ABIDE BY A CEASE AND DESIST ORDER. ******* REGULATORY ACTION (4 of 263) ******* Reporting Source: Regulator (Form U-6) Date Reported: 06/29/2005 Initiated By: NASD Date initiated: 06/28/2005 Docket/ Case Number: C10050035 Allegations: MSRB RULE G-14 AND G-27 - RESPONDENT FIRM FAILED TO TIMELY REPORT ITS MUNICIPAL SECURITIES CUSTOMER TRANSACTIONS THAT WERE PROCESSED THROUGH THE FIRM'S BROKER SYMBOL. THE FIRM FAILED TO MONITOR ITS TRADE REPORTING TO ENSURE COMPLIANCE WITH MSRB RULE G-14. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/28/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $60,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT FIRM CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $60,000 Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/15/2005 Initiated By: NASD, DISTRICT NO. 10 Date initiated: 06/28/2005 Docket/ Case Number: AWC NO. C10050035 Allegations: ALLEGATION THAT DURING THE PERIOD FROM ON OR ABOUT JANUARY 1, 2003 THROUGH ON OR ABOUT OCTOBER 31, 2004, THE FIRM FAILED TO TIMELY REPORT MUNICIPAL SECURITIES TRADES BY EXECUTING BROKER SYMBOL MINC AND FAILED TO MONITOR ITS TRADE REPORING TO INSURE TIMELY COMPLIANCE WITH MSRB RULE G-14, CONSTITUTING VIOLATIONS OF MSRB RULE G-27. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/28/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $60,000.00 Resolution Details: THE FIRM CONSENTED TO A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $60,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS AND SOLELY FOR THE NASD BrokerCheck October 14, 2005 Page 7 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) PURPOSES OF THIS PROCEEDING AND ANY OTHER PROCEEDING IN WHICH NASD IS A PARTY, PRIOR TO A HEARING AND WITHOUT AN ADJUDICATION OF ANY ISSUE OF LAW OR FACT, THE FIRM CONSENTED TO A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $60,000.00. ******* REGULATORY ACTION (5 of 263) ******* Reporting Source: Regulator (Form U-6) Date Reported: 07/27/2005 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 05/31/2005 Docket/ Case Number: FILE NO. 3-11935 Allegations: SEC ADMINISTRATIVE RELEASES 34-51761, IA RELEASE 40-2390, MAY 31, 2005; RESPONDENTS WILLFULLY VIOLATED SECTION 206(1) OF THE ADVISERS ACT IN THAT THEY EMPLOYED DEVICES, SCHEMES OR ARTIFICES TO DEFRAUD CLIENTS OR PROSPECTIVE CLIENTS. SPECIFICALLY, THE DEFENDANTS VIOLATED SECTION 206(1) BY KNOWINGLY OR RECKLESSLY FAILING TO DISCLOSE TO THE FUNDS' BOARDS THAT FIRST DATA HAD OFFERED TO DO THE SAME WORK FOR SUBSTANTIALLY LESS AND BY FAILING TO DISCLOSE THE CONTENTS OF THE SIDE LETTER TO THE FUNDS' BOARDS. THE RESPONDENTS ALSO WILLFULLY VIOLATED SECTION 206(2) IN THAT THEY ENGAGED IN TRANSACTIONS, PRACTICES, OR COURSES OF BUSINESSES THAT OPERATED OR WOULD OPERATE AS A FRAUD OR DECEIT UPON CLIENTS OR PROSPECTIVE CLIENTS. SPECIFICALLY, THE RESPONDENTS VIOLATED SECTION 206(2) BY VIRTUE OF THE OMISSIONS AND THE OTHER MISREPRESENTATIONS AND OMISSIONS IN THE MATERIALS PROVIDED TO THE BOARDS IN SUPPORT OF THE RECOMMENDATION. Current Status: Final Resolution: Order Resolution Date: 05/31/2005 Sanctions Ordered: Disgorgement/Restitution, Censure, Cease and Desist/Injunction Other Sanctions: UNDERTAKING: THE RESPONDENTS SHALL COMPLY WITH THE COMPANY POLICY REGARDING RETENTION OF SERVICE PROVIDERS BY ADVISERS TO PROPRIETARY MUTUAL FUNDS (THE "VENDOR POLICY"), ADOPTED ON AUGUST 2, 2004, AND AMENDED ON MARCH 28, 2005, WHICH PROVIDES, AMONG OTHER THINGS, THAT FOR CERTAIN SERVICE PROVIDER CONTRACTS FOR THE FUNDS, THE ADVISER SHALL, WHEN REQUESTED BY A FUND BOARD, RETAIN AT ITS OWN EXPENSE AN INDEPENDENT CONSULTING EXPERT TO ADVISE AND ASSIST THE BOARD ON THE SELECTION OF SERVICE PROVIDERS AND NEGOTIATION OF SERVICE PROVIDER CONTRACTS. THE VENDOR POLICY REQUIRES ITS PARENT COMPANY TO PROVIDE ADVANCED WRITTEN NOTIFICATION OF ANY MATERIAL AMENDMENTS TO THE VENDOR POLICY TO COUNSEL FOR THE BOARDS OF DIRECTORS OF ALL PERTINENT FUNDS, AND, FOR A FIVE-YEAR PERIOD ENDING ON MARCH 28, 2010, TO OBTAIN THE WRITTEN CONSENT OF THE COMMISSION STAFF BEFORE MAKING ANY MATERIAL AMENDMENTS. Resolution Details: WITHOUT ADMITTING OR DENYING THE FINDINGS, RESPONDENT CONSENTS TO THE ENTRY OF THIS ORDER, THEREFORE, PURSUANT TO SECTION 203(E) OF THE ADVISERS ACT, THE ADVISER IS HEREBY CENSURED, PURSUANT TO SECTION 203(K) OF THE ADVISERS ACT, RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTUREVIOLATIONS OF SECTIONS 206(1) AND 206(2) OF THE ADVISERS ACT, RESPONDENT SHALL PAY, ON A JOINT AND SEVERAL BASIS, DISGORGEMENT IN THE AMOUNT OF $109,004,551.00, PLUS PREJUDGMENT INTEREST OF $19,055,630.00. OF THE DISGORGEMENT AMOUNT, RESPONDENTS SHALL BE DEEMED TO HAVE PAID $17,004,551.00, WHICH REPRESENTS THE AMOUNT RECEIVED BY THE FIRM AND ITS AFFILIATES UNDER THE REVENUE GUARANTEE AND WHICH RESPONDENTS HAVE ALREADY PAID, ALONG WITH INTEREST OF $7,351,599.00 TO THE FUNDS. THE REMAINING DISGORGEMENT AMOUNT, $92,000,000.00, PLUS PREJUDGMENT INTEREST OF $11,704,031.00, SHALL BE PAID WITHIN 10 DAYS OF THE ENTRY OF THIS ORDER. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/03/2005 NASD BrokerCheck October 14, 2005 Page 8 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION ("SEC") Date initiated: 05/31/2005 Docket/ Case Number: ADVISERS ACT REL. NO. 2390 Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, SMITH BARNEY FUND MANAGEMENT LLC ("SBFM") AND CITIGROUP GLOBAL MARKETS INC. ("CGMI") CONSENTED TO THE ENTRY OF AN ORDER BY THE SEC FINDING THAT THEY WILLFULLY VIOLATED SECTIONS 206(1) AND 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") IN CONNECTION WITH SECURING APPROVAL BY THE BOARDS OF THE SMITH BARNEY FAMILY OF MUTUAL FUNDS (THE "FUNDS") OF THE APPOINTMENT OF A NEW, AFFILIATED TRANSFER AGENT. SPECIFICALLY, THE SEC ORDER FINDS THAT SBFM AND CGMI FAILED TO DISCLOSE TO THE BOARDS A REVENUE GUARANTEE ASSOCIATED WITH THE NEW AGREEMENT OR AN OFFER MADE BY THE THEN-EXISTING TRANSFER AGENT TO CONTINUE TO PERFORM ITS WORK AT A DISCOUNT. THE SEC ORDER FURTHER FINDS THAT SBFM AND CGMI MADE OTHER OMISSIONS AND MISREPRESENTATIONS TO THE BOARDS IN CONNECTION WITH THE CREATION, OPERATION, AND COMPENSATION OF THE NEW ARRANGEMENT. Current Status: Final Resolution: Settled Resolution Date: 05/31/2005 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $80,000,000.00 Other Sanctions: THE SEC ORDER REQUIRED SBFM AND CGMI TO COMPLY WITH PRESCRIBED PROCEDURES GOVERNING THE RETENTION OF CERTAIN SERVICE PROVIDERS AND THE NEGOTIATION OF SERVICE PROVIDER CONTRACTS AND SBFM TO OVERSEE A SPECIFIED PROCESS FOR RECOMMENDING A NEW TRANSFER AGENT CONTRACT FOR THE FUNDS. Resolution Details: THE SEC ORDER CENSURED CGMI AND SBFM, REQUIRED THAT CGMI AND SBFM CEASE AND DESIST FROM COMMITTING OR CAUSING VIOLATIONS OF SECTIONS 206)1) AND 206(2) OF THE ADVISERS ACT, REQUIRED THAT SBFM AND CGMI DISGORGE, ON A JOINT AND SEVERAL BASIS, $109 MILLION PLUS PREJUDGMENT INTEREST OF $19.1 MILLION, AND REQUIRED THAT SBFM PAY AN $80 MILLION CIVIL MONEY PENALTY. THE DISGORGEMENT AMOUNT AND THE CIVIL MONETARY PENALTY WERE PAID IN JUNE, 2005. Summary: ON MARCH 28, 2005, SBFM AND CGMI SUBMITTED AN OFFER OF SETTLEMENT TO THE SEC, WHICH WAS ACCEPTED BY THE SEC ON MAY 31, 2005. IN THE OFFER OF SETTLEMENT, SOLELY FOR THE PURPOSE OF THE PROCEEDING AND ANY OTHER ACTION IN WHICH THE SEC IS A PARTY AND WITHOUT ADMITTING OR DENYING THE FINDINGS SET FORTH IN THE ADMINISTRATIVE ORDER, SBFM AND CGMI CONSENTED TO THE FINDING OF THE VIOLATIONS DESCRIBED IN 7, ABOVE. AS A RESULT OF THE FINDINGS, SBFM AND CGMI EACH CONSENTED TO AN ENTRY OF A CEASE AND DESIST ORDER, A CENSURE, AND THE PAYMENT OF DISGORGEMENT, ON A JOINT AND SEBVERAL BASIS, OF $109 MILLION PLUS PREJUDMENT INTEREST OF $19.1 MILLION. THE ORDER ALSO REQUIRED SBFM TO PAY AN $80 MILLION CIVIL MONEY PENALTY. ******* REGULATORY ACTION (6 of 263) ******* Reporting Source: Regulator (Form U-6) Date Reported: 05/05/2005 Initiated By: NASD Date initiated: 04/06/2005 Docket/ Case Number: CE3050006 Allegations: NASD CONDUCT RULES 2210(D)(1), 2210(C), AND 2110- BETWEEN JUNE AND AUGUST 2003, CITIGROUP RAN A NATIONAL ADVERTISING CAMPAIGN REGARDING CERTAIN MUTUAL FUNDS. AS PART OF THIS ADVERTISING CAMPAIGN, CITIGROUP RAN FOUR PRINT ADVERTISEMENTS IN THE WALL STREET JOURNAL. THESE ADVERTISMENTS EMPHASIZED THE MORE RECENT FAVORABLE PERFORMANCE AND DE-EMPHASIZED THE NEGATIVE ONE-YEAR PERFORMANCE OF THE FUNDS IN A MANNER THAT WAS UNBALANCED. IN NASD BrokerCheck October 14, 2005 Page 9 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ADDITION, IN MAY 2002, THE FIRM USED 18 ITEMS OF ADVERTISING AND SALES LITERATURE CONCERNING REGISTERED INVESTMENT COMPANIES THAT IT FAILED TO FILE WITH NASD. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/06/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, FIRM IS CENSURED AND FINED $50,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/03/2005 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/06/2005 Docket/ Case Number: AWC CE3050006 Allegations: THE NASD ALLEGED THAT IN VIOLATION OF CONDUCT RULES 2210(D)(1), 2210(C) AND 2110, FOUR ADVERTISEMENTS RELATING TO CERTAIN SMITH BARNEY MUTUAL FUNDS WERE UNBALANCED AND THAT IN MAY 2002 THE FIRM USED 18 ITEMS OF ADVERTISING AND SALES LITERATURE CONCERNING REGISTERED INVESTMENT COMPANIES THAT IT FAILED TO FILE WITH THE NASD ADVERTISING REGULATION DEPARTMENT. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/06/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: FINE IN THE AMOUNT OF $50,000.000 PAID APRIL, 2005. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS THE FIRM CONSENTED TO FINDINGS THAT IT VIOLATED THE RULES NOTED IN ITEM 7, ABOVE, AND AGREED TO A CENSURE AND A FINE IN THE AMOUNT OF $50,000.00. ******* REGULATORY ACTION (7 of 263) ******* Reporting Source: Regulator (Form U-6) Date Reported: 07/05/2005 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 03/23/2005 Docket/ Case Number: 3-11869 Allegations: SEC ADMINISTRATIVE PROCEEDING FILE NO. 3-11869; RELEASE NO. 51415 AND 8557 DATED MARCH 23, 2005; THE COMPLAINT ALLEGED VIOLATIONS OF SECTION 17(A) OF THE SECURITIES ACT AND RULE 10B-10 UNDER THE EXCHANGE ACT;FROM AT LEAST JANUARY 1, 2002 THROUGH JULY 31, 2003, CITIGROUP GLOBAL MARKETS INC (CGMI )FAILED TO DISCLOSE ADEQUATELY CERTAIN MATERIAL FACTS TO ITS CUSTOMERS IN THE OFFER AND SALE OF MUTUAL FUND SHARES. AT ISSUE IN THIS CASE ARE TWO DISTINCT DISCLOSURE FAILURES. THE FIRST RELATES TO CGMI'S REVENUE SHARING PROGRAM. IN ADDITION TO STANDARD SALES LOADS AND 12B-1 TRAIL PAYMENTS, CGMI RECEIVED REVENUE SHARING PAYMENTS FROM INVESTMENT ADVISERS AND DISTRIBUTORS ASSOCIATED WITH APPROXIMATELY 75 MUTUAL FUND NASD BrokerCheck October 14, 2005 Page 10 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) COMPLEXES. IN EXCHANGE FOR THESE PAYMENTS, CGMI PROVIDED "SHELF SPACE" TO MUTUAL FUNDS BY GRANTING THEM ACCESS TO, OR INCREASED VISIBILITY IN, CGMI'S EXTENSIVE RETAIL DISTRIBUTION NETWORK. THE SECOND DISCLOSURE FAILURE RELATES TO CGMI'S SALES OF CLASS B SHARES OF MUTUAL FUNDS IN AMOUNTS AGGREGATING $50,000 OR GREATER. CGMI DID NOT ADEQUATELY DISCLOSE AT THE POINT OF SALE, IN CONNECTION WITH ITS RECOMMENDATIONS TO CUSTOMERS TO PURCHASE CLASS B SHARES, THAT SUCH SHARES WERE SUBJECT TO HIGHER ANNUAL FEES AND THAT THOSE FEES COULD HAVE A NEGATIVE IMPACT ON THE CUSTOMERS' INVESTMENT RETURNS DEPENDING UPON THE INVESTMENT AMOUNT AND THE INTENDED HOLDING PERIOD.CGMI'S REVENUE SHARING PROGRAM, KNOWN AS THE TIER PROGRAM, CREATED AN UNDISCLOSED CONFLICT OF INTEREST BECAUSE CGMI OFFERED AND SOLD TO ITS CUSTOMERS ONLY THE SHARES OF THOSE MUTUAL FUND COMPLEXES THAT PAID CGMI ADDITIONAL COMPENSATION. WHEN CGMI RECOMMENDED AND SOLD MUTUAL FUNDS TO ITS CUSTOMERS, CGMI RELIED UPON THE DISCLOSURES THAT FUND COMPANIES MADE IN THEIR PROSPECTUSES AND STATEMENTS OF ADDITIONAL INFORMATION ("SAIS"), ALTHOUGH MOST OF THOSE DISCLOSURES DID NOT PROVIDE SUFFICIENT FACTS THAT WOULD ENABLE CGMI'S CUSTOMERS TO UNDERSTAND THE NATURE AND SCOPE OF CGMI'S REVENUE SHARING PROGRAM. Current Status: Final Resolution: Order Resolution Date: 03/23/2005 Sanctions Ordered: Monetary/Fine, Censure, Cease and Desist/Injunction Monetary Amount: $20,000,000.00 Other Sanctions: UNDERTAKINGS Resolution Details: CGMI SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE SECURITIES ACT AND RULE 10B-10 UNDER THE EXCHANGE ACT;CGMI IS CENSURED;CGMI SHALL, WITHIN 30 DAYS FROM THE DATE OF ENTRY OF THE ORDER, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $20 MILLION TO THE UNITED STATES TREASURY;CGMI SHALL COMPLY WITH THE UNDERTAKINGS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 05/23/2005 Initiated By: U.S. SECURITIES AND EXCHANGE COMMISSION Date initiated: 10/20/2003 Docket/ Case Number: SEC ADM. PROCEEDING FILE NO. 3-11869 Allegations: THE SEC ORDER FINDS THAT THERE WERE TWO DISTINCT DISCLOSURE FAILURES BY CITIGROUP GLOBAL MARKETS INC. ("CGMI") IN THE OFFER AND SALE OF MUTUAL FUND SHARES TO ITS CUTOMERS. THE FIRST FAILURE RELATED TO CGMI'S REVENUE SHARING PROGRAM, WHEREBY CGMI RECEIVED FROM ADVISERS AND DISTRIBUTORS ASSOCIATED WITH ABOUT 75 MUTUAL FUND COMPLEXES REVENUE SHARING PAYMENTS, IN EXCHANGE FOR WHICH CGMI GRANTED MUTUAL FUNDS ACCESS TO, OR INCREASED VISIBILITY IN, CGMI'S RETAIL DISTRIBUTION NETWORK. CGMI DID NOT ADEQUATELY DISCLOSE ITS REVENUE SHARING PROGRAM TO ITS CUSTOMERS BUT INSTEAD RELIED ON THE PARTICIPATING FUNDS' PROSPECTUSES AND SAIS TO SATISFY ITS DISCLOSURE OBLIGATIONS WITH REGARD TO ITS REVENUE SHARING PROGRAM. AS A RESULT, THE ORDER FINDS THAT CGMI WILLFULLY VIOLATED SECURITIES ACT SECT. 17(A)(2) AND EXCHANGE ACT RULE 10B-10. THE SECOND DISCLOSURE FAILURE CONCERNED CGMI'S SALES OF CLASS B SHARES OF MUTUAL FUNDS IN AMOUNTS AGGREGATING $50,000 OR MORE, AND ITS FAILURE TO DISCLOSE ADEQUATELY AT THE POINT OF SALE, IN CONNECTION WITH RECOMMENDATIONS TO CUSTOMERS TO BUY CLASS B SHARES, THAT SUCH SHARES WERE SUBJECT TO HIGHER ANNUAL FEES AND THAT THOSE FEES COULD HAVE A NEGATIVE IMPACT ON THE CUSTOMERS' INVESTMENT RETURNS DEPENDING ON AMOUNT INVESTED AND THE INTENDED HOLDING PERIOD. AS A RESULT, THE ORDER FINDS THAT CGMI WILLFULLY VIOLATED SECURITIES ACT SECT. 17(A)(2). Current Status: Final Resolution: Settled NASD BrokerCheck October 14, 2005 Page 11 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 03/22/2005 Sanctions Ordered: Monetary/Fine, Censure, Cease and Desist/Injunction Monetary Amount: $20,000,000.00 Other Sanctions: THE SEC ORDER REQUIRED CGMI TO COMPLY WITH ITS UNDERTAKINGS ENUMERATED IN SECTION III.30 OF THE ORDER, INCLUDING UNDERTAKINGS TO RETAIN AN INDEPENDENT CONSULTANT TO CONDUCT A REVIEW OF CGMI'S MUTUAL FUND SALES PRACTICES AND TO OFFER AFFECTED CUSTOMERS THE OPTION OF CONVERTING THEIR CLASS B SHARES INTO CLASS A SHARES IN SUCH A MANNEER THAT EACH CUSTOMER IS PLACED IN THE SAME FINANCIAL POSITION IN WHICH SUCH CUSTOMER WOULD HAVE BEEN HAD THE CUSTOMER PURCHASED CLASS A SHARES INSTEAD OF CLASS B SHARES. Resolution Details: THE SEC ORDER CENSURED CGMI, REQUIRED THAT CGMI CEASE AND DESIST FROM COMMITTING OR CAUSING VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECT. 17(1) OF THE SECURITIES ACT AND EXCHANGE ACT RULE 10B-10, AND REQUIRED CGMI PAY A $20 MILLION CIVIL PENALTY. THE CIVIL PENALTY WAS PAID ON APRIL 20, 2005. Summary: ON JANUARY 6, 2005, CGMI SUBMITTED AN OFFER OF SETTLEMENT TO THE SEC, WHICH WAS ACCEPTED BY THE SEC ON MARCH 23, 2005. IN THE OFFER OF SETTLEMENT, SOLELY FOR THE PURPOSE OF THE PROCEEDINGS AND ANY OTHER ACTION IN WHICH THE SEC IS A PARTY AND WITHOUT ADMITTING OR DENYING THE FINDINGS SET FORTH IN THE ADMINISTRATIVE ORDER, EXCEPT AS TO JURISDICTION, CGMI CONSENTED TO THE FINDING OF THE VIOLATIONS DESCRIBED IN 7, ABOVE. AS A RESULT OF THE FINDINGS, CCMI CONSENTED TO THE ENTRY OF A CEASE AND DESIST ORDER, A CENSURE, AND AN ORDER REQUIRING CGMI TO PAY A $20 MILLION CIVIL PENALTY. ******* REGULATORY ACTION (8 of 263) ******* Reporting Source: Regulator (Form U-6) Date Reported: 03/28/2005 Initiated By: NASD Date initiated: 03/22/2005 Docket/ Case Number: CE2050005 Allegations: NASD RULES 2110, 2310, 3010 - IN CONNECTION WITH SALES OF CLASS B AND CLASS C SHARES OF MUTUAL FUNDS TO PUBLIC CUSTOMERS, RESPONDENT MEMBER THROUGH ITS REGISTERED REPRESENTATIVES, EITHER DID NOT ADEQUATELY DISCLOSE AT THE POINT OF SALE, OR DID NOT ADEQUATELY CONSIDER IN CONNECTION WITH ITS RECOMMENDATIONS TO CUSTOMERS TO PURCHASE CLASS B AND CLASS C SHARES, THE DIFFERENCES IS SHARE CLASSES AND THAT AN EQUAL INVESTMENT IN CLASS A SHARES WOULD GENERALLY HAVE BEEN MORE ADVANTAGEOUS FOR THE CUSTOMERS; THE FIRM'S SUPERVISORY AND COMPLIANCE POLICIES AND PROCEDURES WERE NOT REASONABLY DESGINED TO ENSURE THAT EMPLOYEES CONSISTENTLY PROVIDED ADEQUATE DISCLOSURE OF, OR CONSIDERATION TO, THE BENEFITS OF THE VARIOUS SHARE CLASSES AS THEY APPLIED TO INDIVIDUAL CUSTOMERS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/22/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $6,250,000.00 Other Sanctions: UNDERTAKING: SHALL RETAIN, WITHIN 60 DAYS OF THE EFFECTIVE DATE OF THIS AWC THE SERVICES OF AN INDEPENDENT CONSULTANT TO CONDUCT A COMPREHENSIVE REVIEW OF THE COMPLETENESS OF ITS DISCLOSURES REGARDING THE DIFFERENCES IN MUTUAL FUND SHARE CLASSES AND THE POLICIES AND PROCEDURES RELATING TO FIRM'S RECOMMENDATIONS TO ITS CUSTOMERS OF DIFFERENT CLASS SHARE OF MUTUAL FUNDS AND TO RECOMMEND POLICIES AND PROCEDURES THAT ADDRESS DEFICIENCIES, IF ANY, IN THESE AREAS. RESPONDENT MEMBER SHALL, WITHIN 90 DAYS OF THE EFFECTIVE DATE OF THIS AWC, PROVIDE THE INDEPENDENT CONSULTANT A LIST OF CUSTOMERS WHO PURCHASED CLASS B SHARES BETWEEN JANUARY 1, 2002 AND THE EFFECTIVE DATE OF THIS AWC OF $50,000 OR GREATER. WITHIN 150 NASD BrokerCheck October 14, 2005 Page 12 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) DAYS FROM THE EFFECTIVE DATE OF THIS AWC THE FIRM SHALL OFFER ANY CUSTOMER WHO MADE A QUALIFYING PURCHASE(S) AND STILL HOLDS SUCH SHARES, THE OPTION OF CONVERTING SUCH CLASS B OR CLASS C SHARES INTO CLASS A SHARES IN SUCH A MANNER THAT EACH CUSTOMER IS PLACED IN THE SAME FINANCIAL POSITION, BASED ON ACTUAL FUND PERFORMANCE, IN WHICH SUCH CUSTOMER WOULD HAVE BEEN, AS OF THE DATE NO MORE THAN 10 BUSINESS DAYS PRIOR TO THE DATE ON WHICH THE OFFERED CONVERSION TO CLASS A SHARES IS TO BE COMPLETED, WITH RESPECT TO THE QUALIFYING PURCHASES HAD THE CUSTOMER PURCHASED CLASS A SHARES INSTEAD OF CLASS B OR CLASS C SHARES. INDEPENDENT CONSULTANT SHALL SUBMIT A FINAL WRITTEN REPORT TO THE MEMBER FIRM AND TO NASD WITHIN 270 DAYS OF THE EFFECTIVE DATE OF THIS AWC AND THE FIRM SHALL TAKE ALL NECESSARY AND APPROPRIATE STEPS TO ADOPT AND IMPLEMENT ALL RECOMMENDATIONS AND PROPOSALS CONTAINED IN THE INDEPENDENT CONSULTANT'S FINAL REPORT. Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CITIGROUP GLOBAL MARKETS INC., CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $6.25 MILLION. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/15/2005 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/20/2003 Docket/ Case Number: CE2050005 Allegations: ALLEGATION THAT THE FIRM FAILED TO ADEQUATELY DISCLOSE THE DIFFERENCES IN MUTUAL FUND SHARE CLASSES, INCLUDING HIGHER ANNNUAL FEES FOR "B" SHARE PURCHASES, CDSC FEES AND THAT SHARE PURCHASES COULD QUALIFY FOR LOWER INITIAL SALES CHARGES DEPENDING ON THE SIZE OF THE PURCHASE (BREAKPOINT DISCOUNTS). Current Status: Final Resolution: Consent Resolution Date: 03/22/2005 Sanctions Ordered: Monetary/Fine, Censure, Cease and Desist/Injunction Monetary Amount: $6,250,000.00 Other Sanctions: RETENTION OF AN INDEPENDENT CONSULTANT TO REVIEW POLICIES AND PROCEDURES AND THE IMPLEMENTATION OF A REMEDIATION PLAN GIVING CERTAIN PURCHASERS OF "B" SHARES THE OPTION TO CONVERT TO "A" SHARES. Resolution Details: ON MARCH 22, 2005 THE FIRM ENTERED INTO A CONSENT AGREEMENT IN WHICH IT AGREED TO A FINE IN THE AMOUNT OF $6,250,000.00, CENSURE, A CEASE AND DESIST ORDER AND RETENTION OF AN INDEPENDENT CONSULTANT TO REVIEW POLICIES AND PROCEDURES AND OVERSEE A REMEDIATION PLAN GIVING CERTAIN PURCHASERS OF "B" SHARES THE OPTION TO CONVERT TO "A" SHARES. Summary: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OCCURRED, THE FIRM AGREED TO FINDINGS THAT IT FAILED TO ADEQUATELY DISCLOSE THE DIFFERENCES IN MUTUAL FUND SHARE CLASSES, INCLUDING HIGHER ANNUAL FEES FOR "B" SHARE PURCHASES, CDSC FEES AND THAT SHARE PURCHASES COULD QUALIFY FOR LOWER INITIAL SALES CHARGES DEPENDING ON THE SIZE OF THE PURCHASES (BREAKPOINT DISCOUNTS). ******* REGULATORY ACTION (9 of 263) ******* Reporting Source: Regulator (Form U-6) Date Reported: 02/17/2005 Initiated By: NASD Date initiated: 01/28/2005 Docket/ NASD BrokerCheck October 14, 2005 Page 13 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Case Number: CLG050004 Allegations: SEC RULES 10B-10, 11AC1-4, NASD RULES 2110, 2320, 3350, 3360, 4632(D), 4642(D), 5430(A)(9), 6130(D)- RESPONDENT MEMBER FAILED TO REPORT TO ACT THE CORRECT SYMBOL INDICATING WHETHER THE TRANSACTION WAS A BUY, SELL, SELL SHORT, SELL SHORT EXEMPT OR CROSS FOR TRANSACTIONS IN ELIGIBLE SECURITIES; FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMERS WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS; EXECUTED SHORT SALE TRANSACTIONS IN CERTAIN SECURITIES ALL OF WHICH WERE NASDAQ NATIONAL MARKET SECURITIES, AT OR BELOW THE CURRENT INSIDE BID WHEN THE CURRENT INSIDE BID WAS BELOW THE PRECEDING INSIDE BID IN THE SECURITY; SUBMITTED TO NASD INACCURATE SHORT INTEREST POSITION REPORTS; FAILED TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMERS ITS CORRECT MARKET MAKER STATUS IN EACH SUCH SECURITY AND ITS CORRECT CAPACITY IN THE TRANSACTION; INCORRECTLY DESIGNATED AS ".PRP" THROUGH ACT ONE LAST SALE REPORT OF A TRANSACTION IN A NASDAQ NATIONAL MARKET SECURITY; INCORRECTLY REPORTED TO ACT THE SECOND LEG OF "RISKLESS" PRINCIPAL TRANSACTIONS IN NASDAQ NATIONAL MARKET, AND NASDAQ SMALLCAP SECURITIES, AND INCORRECTLY DESIGNATED THE CAPACITY OF SUCH TRANSACTIONS AS PRINCIPAL; FAILED TO DISPLAY IMMEDIATELY CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED FIRM'S BID OR OFFER IN EACH SUCH SECURITY, OR WHEN THE ORDER WAS PRICED EQUAL TO FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER FOR EACH SUCH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH FIRM'S BID OR OFFER IN EACH SUCH SECURITY. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/28/2005 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $107,500.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CITIGROU GLOBAL MARKETS INC., CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED, FINED $107,500, AND ORDERED TO PAY $1,706.01 IN RESTITUTION, PLUS INTEREST. Summary: IF FOR ANY REASON RESPONDENT CANNOT LOCATE THE CUSTOMER(S) AFTER REASONABLE AND DOCUMENTED EFFORTS, WITHIN A REASONABLE TIME PERIOD, THE RESPONDENT SHALL FORWARD ANY UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY, OR ABANDONED PROPERTY FUNDS FOR THE STATE IN WHICH THE CUSTOMER CONDUCTED ITS PRINCIPAL BUSINESS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/15/2005 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/28/2005 Docket/ Case Number: AWC NO CLG05004 Allegations: ALLEGED VIOLATION OF NASD MARKETPLACE RULES 6130(D), 4642(D), NASD CONDUCT RULES 2110, 2320 3350, 3360 AND SEC RULE 11AC1-4. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/28/2005 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $107,500.00 Resolution Details: THE FIRM CONSENTED TO CENSURE, A FINE TOTALING $107,500.00 AND RESTITUTION OF $1,706.01 PLUS INTEREST TO CERTAIN INVESTORS. NASD BrokerCheck October 14, 2005 Page 14 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE SANCTIONS SPECIFIED ABOVE. ****** REGULATORY ACTION (10 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/10/2005 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 12/07/2004 Docket/ Case Number: HPD#: 05-23 Allegations: **12/7/04**STIPULATION EXECUTED ALLEGATIONS: 1. VIOLATED EXCHANGE RULE 342, IN THAT IT FAILED TO ESTABLISH A SYSTEM FOR FOLLOW-UP AND REVIEW WITH RESPECT TO PROPERLY TRAINING AND SUPERVISING ITS EMPLOYEES TO RECOGNIZE OR IDENTIFY E-MAIL COMMUNICATIONS THAT MAY CONTAIN FALSE AND MISLEADING CONTENT, AND THEIR OWN COMPLIANCE WITH EXCHANGE RULE 472.30(I). SANCTION:CONSENT TO CENSURE AND A $350,000 FINE. Current Status: Final Resolution: Decision Resolution Date: 03/04/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $350,000.00 Resolution Details: **1/28/05**DECISION 05-23 - ISSUED BY THE NYSE HEARING PANEL VIOLATED EXCHANGE RULE 342, IN THAT IT FAILED TO ESTABLISH A SYSTEM FOR FOLLOW-UP AND REVIEW WITH RESPECT TO PROPERLY TRAINING AND SUPERVISING ITS EMPLOYEES TO RECOGNIZE OR IDENTIFY E-MAIL COMMUNICATIONS THAT MAY CONTAIN FALSE AND MISLEADING CONTENT, AND THEIR OWN COMPLIANCE WITH THEN EXCHANGE RULE 472.30(I). PENALTY:CONSENT TO CENSURE AND A $350,000 FINE. Summary: **3/04/2005**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY.CONTACT:MICHELE VAN TASSEL 212-656-5340 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/15/2005 Initiated By: NEW YORK STOCK EXCHANGE, INC. Date initiated: 12/07/2004 Docket/ Case Number: 05-23 Allegations: ALLEGED VIOLATION OF EXCHANGE RULE 342 IN THAT THE FIRM FAILED TO PROVIDE ADEQUATE TRAINING FOR AND SUPERVISION OF CERTAIN EMPLOYEES TO ENSURE RECOGNITION OR IDENTIFICATION OF ELECTRONIC COMMUNICATIONS THAT MAY CONTAIN FALSE AND MISLEADING CONTENT. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 02/26/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $350,000.00 Resolution Details: THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE AMOUNT OF $350,000.00. Summary: WITHOUT ADMITTING OR DENYING ANY VIOLATIONS, THE FIRM CONSENTED TO THE IMPOSITION BY THE EXCHANGE OF A CENSURE AND A NASD BrokerCheck October 14, 2005 Page 15 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) $350,000.00 FINE FOR THE ALLEGED VIOLATION OF EXCHANGE RULE 342. ****** REGULATORY ACTION (11 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/08/2004 Initiated By: NASD Date initiated: 11/11/2004 Docket/ Case Number: CAF040082 Allegations: NASD CONDUCT RULES 2110, 2810, 2310, 3010, 3110 AND 2210(D)(1)(A) ? DURING THE PERIOD JANUARY 2002 TO NOVEMBER 2003 (?RELEVANT PERIOD?) CITIGROUP GLOBAL MARKETS INC. (?CGMI?) MARKETED AND SOLD TWO PROPRIETY MANAGED FUTURES PRODUCTS (?FUTURES FUNDS?) TO OVER 8,200 INVESTORS, RAISING APPROXIMATELY $199 MILLION. EACH FUTURES FUND INVESTED IN COMMODITIES, INCLUDING FUTURES, OPTIONS ON FUTURES AND FORWARD CONTRACTS. THIS PRODUCT IS A SPECULATIVE INVESTMENT THAT CARRIES A HIGH DEGREE OF RISK. DURING THE RELEVANT PERIOD, CGMI SOLD THE FUTURES FUNDS TO 45 CUSTOMERS FOR WHOM THE INVESTMENT WAS UNSUITABLE BASED ON THE MINIMUM NET WORTH AND INCOME REQUIREMENTS. THESE 45 CUSTOMERS INVESTED A TOTAL OF $203,000 IN FUTURES FUNDS. IN EACH INSTANCE, THE CUSTOMER MADE AN INVESTMENT IN THE FUTURES FUND RANGING FROM $2,000 TO $20,000 AND FAILED TO MEET MINIMUM NET WORTH AND INCOME REQUIREMENTS. CGMI ALSO FAILED TO MAINTAIN RECORDS DISCLOSING THE BASIS UPON WHICH ITS SUITABILITY DETERMINATIONS WERE MADE IN ITS RECOMMENDATIONS AND SALES TO CUSTOMERS IN FUTURES FUNDS. IN ADDITION, CMGI?S SUPERVISORY SYSTEM AND WRITTEN PROCEDURES WERE NOT REASONABLY DESIGNED TO PROVIDE FOR THE MAINTENANCE OF RECORDS DISCLOSING THE BASIS OF THOSE SUITABILITY DETERMINATIONS AS REQUIRED BY NASD RULES. MOREOVER, THE FIRM INCLUDED ADVERTISEMENTS ON ITS WEBSITE THAT FAILED TO ADEQUATELY DISCLOSE AND DESCRIBE THE RISKS OF INVESTING IN MANAGED FUTURES PRODUCTS IN VIOLATION OF NASD RULES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/11/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $275,000.00 Other Sanctions: CGMI SHALL COMPLY WITH THE FOLLOWING UNDERTAKING: FOR THOSE AMONG THE 45 CUSTOMERS REFERENCED WHO STILL HOLD UNITS IN THE FUTURES FUNDS CGMI SHALL PROVIDE RESTITUTION TO EACH CUSTOMER BY PAYING AN AMOUNT EQUAL TO ANY LOSS SUFFERED BY EACH SUCH CUSTOMER AS FOLLOWS; WITHIN 30 DAYS OF THE NOTICE OF ISSUANCE OF THIS AWC, CGMI SHALL PREPARE AND FORWARD TO EACH CUSTOMER A LETTER ADVISING EACH CUSTOMER OF THEIR RIGHTS TO SELL THE UNITS BACK TO THE FUTURES FUNDS PURSUANT TO AND MORE FULLY DESCRIBED IN THE PROSPECTUS FOR THE FUTURES FUND AND THAT IF THEY EXERCISE THEIR RIGHT TO REDEEM THEIR UNITS WITHIN 90 DAYS IF THE DATE OF THE LETTER, THEN CGMI SHALL PAY EACH CUSTOMER THE GREATER OF THE NET ASSET VALUE IF THEIR UNITS AS IF THE END OF THE MONTH OF THEIR REQUEST TO REDEEM, OR THE SUBSCRIPTION AMOUNT THAT THE CUSTOMER PAID FOR THEIR UNITS PLUS INTEREST. SATISFACTORY PROOF CGMI?S PERFORMANCE OF THIS UNDERTAKING, OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECTUATE IT, SHALL BE PROVIDED TO NASD NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. FOR THOSE AMONG THE 45 CUSTOMERS WHO HAVE REDEEMED THEIR UNITS IN THE FUTURES FUNDS FOR AN AMOUNT LESS THAN THE SUM OF THEIR PRINCIPAL INVESTMENT PLUS INTEREST, CMGI SHALL PAY RESTITUTION TO EACH CUSTOMER SO THAT SUCH CUSTOMER RECEIVES THE RETURN OF HIS PRINCIPAL INVESTMENT PLUS INTEREST. SATISFACTORY PROOF OF PAYMENT OF RESTITUTION OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION, SHALL BE PROVIDED TO NASD NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. FOR ANY REASON CGMI CANNOT LOCATE ANY SUCH CUSTOMER AFTER REASONABLE AND DOCUMENTED EFFORTS WITHIN SUCH PERIOD, OR SUCH ADDITIONAL PERIOD AGREED TO BY NASD, CGMI SHALL FORWARD ANY UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY, OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER IS LAST KNOW TO HAVE RESIDED. NASD BrokerCheck October 14, 2005 Page 16 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CITIGROUP GLOBAL MARKETS INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED IN THE AMOUNT $275,000.00. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/01/2004 Initiated By: NASD Date initiated: 11/11/2004 Docket/ Case Number: CAF040082 Allegations: ALLEGATION THAT THE FIRM MADE UNSUITABLE FUTURES FUND INVESTMENT RECOMMENDATIONS TO 45 CUSTOMERS DURING THE PERIOD JANUARY 2002 THROUGH NOVEMBER 2003 IN VIOLATION OF NASD RULES 2810, 2310 AND 2110; ALLEGATION THAT THE FIRM FAILED TO MAINTAIN RECORDS IN VIOLATION OF NASD RULES 2810, 3110 AND 2110; ALLEGATION THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND WRITTEN PROCEDURES IN VIOLATION OF NASD RULES 3010 AND 2110; AND ALLEGATION THAT THE FIRM FAILED TO MAKE ADEQUATE DISCLOSURES ON ITS WEBSITE IN VIOLATION OF RULE 2210(D)(1)(A) AND 2110. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/11/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $275,000.00 Other Sanctions: UNDERTAKING Resolution Details: FINE IN THE AMOUNT OF $275,000.00 PAID ON NOVEMBER 19, 2004; UNDERTAKING TO OFFER RECISION AND TO PROVIDE RESTITUTION TO THE 45 AFFECTED CUSTOMERS. Summary: WITHOUT ADMITTING OR DENYING ANY VIOLATIONS, THE FIRM AGREED TO THE IMPOSITION BY THE NASD OF A CENSURE, A FINE IN THE AMOUNT OF $275,000.00 AND AN UNDERTAKING. ****** REGULATORY ACTION (12 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/05/2004 Initiated By: PHILADELPHIA STOCK EXCHANGE Date initiated: 09/08/2004 Docket/ Case Number: ENFORCEMENT NO. 2004-05 Allegations: THE FIRM WAS ALLEGED TO HAVE SOLD COMMON STOCK ON JUNE 19, 2004 PRIOR TO FACILITATING AN INDEX OPTION SPREAD TRADE, IN VIOLATION OF EXCHANGE RULE 1064. Current Status: Final Resolution: Settled Resolution Date: 09/08/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: THE FIRM WAS CENSURED AND FINED AND ON SEPTEMBER 29, 2004 THE NASD BrokerCheck October 14, 2005 Page 17 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) FINE IN THE AMOUNT OF $10,000.00 WAS PAID. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATION, THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE AMOUNT OF $10,000.00. ****** REGULATORY ACTION (13 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/05/2004 Initiated By: PACIFIC EXCHANGE, INC. Date initiated: 10/15/2003 Docket/ Case Number: ENFORCEMENT CASE NO. OS0206051 Allegations: ALLEGATION THAT THE FIRM VIOLATED JUST AND EQUITABLE PRINCIPLES OF TRADE BY CANCELLING AN ORDER AND TRANSACTING IT AT A DIFFERENT PRICE ON A DIFFERENT EXCHANGE Current Status: Final Resolution: Settled Resolution Date: 04/14/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Other Sanctions: EDUCATIONAL UNDERTAKING Resolution Details: ONLY FOR PURPOSES OF THIS PROCEEDING AND WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF EXCHANGE RULES OCCURRED, THE FIRM CONSENTED TO A STIPULATION OF FACTS AND FINDINGS AND CONSENTED TO A CENSURE, A $15,000.00 FINE AND AN EDUCATIONAL UNDERTAKING FOR THE FIRM'S OPTIONS TRADING STAFF. Summary: ON APRIL 14, 2004 THE FIRM WAS NOTIFIED OF ACCEPTANCE OF SETTLEMENT BY THE EXCHANGE. THE FIRM CONSENTED TO A CENSURE, A FINE IN THE AMOUNT OF $15,000.00 AND AN EDUCATIONAL UNDERTAKING FOR THE FIRM'S OPTIONS TRADING STAFF ****** REGULATORY ACTION (14 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/03/2005 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 09/30/2004 Docket/ Case Number: 02-04, 02-26, 03-17, AND 04-205 Allegations: THE FIRM VIOLATED EXCHANGE RULE 320(B) BY FAILING TO REASONABLY SUPERVISE ITS EMPLOYEES? ENTRY OF MULTIPLE ODD-LOT ORDERS ON THREE SEPARATE OCCASIONS. FURTHER, THE FIRM VIOLATED EXCHANGE RULE 320(B) BY FAILING TO HAVE REASONABLE POLICIES OR PROCEDURES IN PLACE DESIGNED TO DETECT OR PREVENT AN ACCOUNT, OR RELATED ACCOUNTS, FROM ENTERING MULTIPLE ODD-LOT ORDERS, RATHER THAN ONE ROUND-LOT ORDER, INTO THE FIRM'S SYSTEM, WHICH ALLOWS PARTICIPATING MONEY MANAGERS TO TRANSMIT ORDERS ELECTRONICALLY TO THE FIRM FOR EXECUTION. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 12/02/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Other Sanctions: N/A NASD BrokerCheck October 14, 2005 Page 18 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: FINE OF $50,000 AND CENSURE. Summary: PLEASE CONTACT THE ENFORCEMENT DEPARTMENT OF THE NASD AMERICAN STOCK EXCHANGE REGULATION DIVISION FOR FURTHER DETAILS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2004 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/05/2004 Docket/ Case Number: Allegations: 02-04: ALLEGED VIOLATION OF AMEX RULE 320(B) FOR FAILURE TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE OF THE FIRM IN CONNECTION WITH HIS ENTRY OF MULTIPLE ODD-LOT ORDERS BETWEEN DECEMBER 4 AND DECEMBER 14, 2000; 02-26: ALLEGED VIOLATION OF AMEX RULE 320(B) FOR FAILURE TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE OF THE FIRM IN CONNECTION WITH HIS ENTRY OF MULTIPLE ODD-LOT ORDERS ON NOVEMBER 15, 2001; 03-17: ALLEGED VIOLATION OF AMEX RULE 320(B) FOR FAILURE TO HAVE REASONABLE POLICIES OR PROCEDURES IN PLACE DESIGNED TO DETECT OR PREVENT AN ACCOUNT OR RELATED ACCOUNTS FROM ENTERING MULTIPLE ODD-LOT ORDERS, RATHER THAN ONE ROUND LOT ORDER, INTO THE FIRM'S X-TRA SYSTEM; 04:205: ALLEGED VIOLATION OF AMEX RULE 320(B) FOR FAILURE TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE OF THE FIRM IN CONNECTION WITH HIS ENTRY OF MULTIPLE ODD-LOT ORDERS BETWEEN SEPTEMBER 11, 2003 AND FEBRUARY 19, 2004. Current Status: Final Resolution: Consent Resolution Date: 12/10/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: THE FIRM WAS CENSURED AND PAID A FINE IN THE AMOUNT OF $50,000.00. Summary: THIS MATTER AROSE FROM FOUR SEPARATE INQUIRIES - AMERICAN STOCK EXCHANGE CASE NOS. 02-04, 02-26, 03-17 AND 04-205. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE AMOUNT OF $50,000.00. ****** REGULATORY ACTION (15 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/19/2004 Initiated By: NASD Date initiated: 10/06/2004 Docket/ Case Number: CAF040077 Allegations: NASD CONDUCT RULES 2210(D)(1)(A) AND 2210 (D)(1)(B) - RESPONDENT MEMBER CITIGROUP GLOBAL MARKETS, INC., BETWEEN JULY 1, 2002 AND JUNE 30, 2003, MADE AVAILABLE TO ITS CUSTOMERS FACT CARDS, SALES PRESENTATIONS, SALES DECKS AND PROSPECTING LETTERS REGARDING HEDGE FUNDS AND FUNDS OF HEDGE FUNDS ("FUNDS") THAT DID NOT COMPLY WITH NASD RULES. THE SALES LITERATURE WAS MADE AVAILABLE TO THE FIRM'S CLIENTS WHO WERE EXISTING SUBSCRIBERS TO THESE FUNDS AND ALSO TO QUALIFIED PROSPECTIVE SUBSCRIBERS. EACH OF THESE PIECES OF SALES LITERATURE LISTED A TARGETED RATE OF RETURN WITHOUT PROVIDING A SOUND BASIS FOR EVALUATING THE TARGET, IMPROPERLY USED HYPOTHETICAL RETURNS IN CHARTS OR GRAPHS, AND/OR FAILED TO INCLUDE ADEQUATE RISK DISCLOSURE. SALES PRESENTATIONS FOR RECENTLY STARTED FUNDS OF HEDGE FUNDS PRESENTED HYPOTHETICAL PERFORMANCE THAT PREDATED THE COMMENCEMENT OF THEIR NASD BrokerCheck October 14, 2005 Page 19 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) OPERATIONS. THESE HYPOTHETICAL RESULTS DID NOT REFLECT THE ACTUAL PERFORMANCE OF THE FUNDS OF HEDGE FUNDS. INSTEAD, THESE HYPOTHETICAL RESULTS WERE CALCULATED BY SELECTING A PORTFOLIO OF INDIVIDUAL ADVISORS WITH WHOM THE FUND OF HEDGE FUNDS INTENDED TO OR RECENTLY HAD BEGUN TO INVEST, AND BY COMBINING THE HISTORIC PERFORMANCE RESULTS OF THESE SELECTED ADVISORS, USING A HYPOTHETICAL ALLOCATION OF ASSETS. THESE PRESENTATIONS CREATED THE MISIMPRESSION THAT THE PARTICULAR FUND OF HEDGE FUNDS HAD A LONGER TRACK RECORD THAN IT ACTUALLY POSSESSED. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/06/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT MEMBER CONSENTED TO THE FINDING OF THE ALLEGATIONS AND TO THE FOLLOWING SANCTIONS: CENSURED AND FINED $250,000.00. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/05/2004 Initiated By: NASD Date initiated: 10/06/2004 Docket/ Case Number: AWC CAF040077 Allegations: ALLEGATION THAT BETWEEN JULY 1, 2002 AND JUNE 30, 2003 THE FIRM MADE AVAILABLE TO ITS CUSTOMERS SALES MATERIAL REGARDING HEDGE FUNDS AND FUNDS OF HEDGE FUNDS THAT DID NOT COMPLY WITH NASD CONDUCT RULES 2210(D)(1) AND 2110. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/06/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Resolution Details: THE FIRM WAS CENSURED AND A FINE IN THE AMOUNT OF $250,000.00 WAS PAID ON OCTOBER 25, 2004. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM ON OCTOBER 6, 2004 SIGNED AN AWC IN WHICH IT AGREED TO A CENSURE AND A FINE IN THE AMOUNT OF $250,000.00 FOR ALLEGED VIOLATIONS OF NASC CONDUCT RULES 2210(D)(1) AND 2110. ****** REGULATORY ACTION (16 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/28/2004 Initiated By: NASD Date initiated: 07/28/2004 Docket/ Case Number: CMS040113 Allegations: SEC RULES 17A-3, 17A-4, SECTION 17(A) OF THE EXCHANGE ACT, NASD RULES 2110, 2440, IM-2440, 3010, 3110, 6240 - CITGROUP GLOBAL MARKETS INC. EXECUTED THE SIMULTANEOUS SALE AND PURCHASE OF CORPORATE BONDS BY INSTITUTIONAL CUSTOMERS AT THE SAME FACE VALUE AND IN EACH CASE, THE TRADES WERE RISKLESS FOR THE FIRM. NASD BrokerCheck October 14, 2005 Page 20 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) THE FIRM'S MARKUP OR MARKDOWN TO ITS CUSTOMERS EXCEEDED THE LEVEL OF COMPENSATION PERMITTED BY NASD RULE 2440 AND THE NASD MARKUP POLICY AND COULD NOT BE JUSTIFIED BY THE FIRM. IN THREE PAIRS OF TRADES EXECUTED ON THE FIRM'S DISTRESSED LEVELS, THE FIRM RECEIVED MARKUPS BETWEEN 15.9-32.29% ALTHOUGH REASONABLENESS UNDER IM-2440(B) GENERALLY SHOULD NOT EXCEED 5%. THE FIRM FAILED TO CREATE RECORDS OF ORDERS AND INSTRUCTIONS FROM CUSTOMERS IN HIGH YIELD AND DISTRESSED BONDS, AND DID NOT REQUIRE TRADERS TO RECORD ACTUAL TRADE EXECUTION TIMES. THE FIRM'S ELECTRONIC TRADE ENTRY SYSTEM AUTOMATICALLY REPORTED TRANSACTIONS TO FIPS ON BEHALF OF THE FIRM WHEN THE TRANSACTION WAS ENTERED INTO THE SYSTEM, NOT THE ACTUAL TIME OF EXECUTION OF THE TRANSACTION, RESULTING IN THE FIRM CONSISTENTLY REPORTING TO FIPS THE INCORRECT TIME OF EXEUCTION FOR TRANSACTIONS IN FIPS SECURITIES AND HIGH YIELD SECURITIES; THE FIRM INCORRECTLY REPORTED TO FIPS TRANSACTIONS IN FIPS SECURITIES AND HIGH YIELD SECURITIES THAT SHOULD NOT HAVE BEEN REPORTED TO FIPS. THE FIRM'S SUPERVISORY SYSTEM FOR HIGH YIELD AND DISTRESSED BOND TRADING WAS LACKING AS TO SURVEILLANCE AND GUIDANCE REGARDING APPLICATION OF THE NASD MARKUP POLICY, DID NOT PROVIDE FOR A REVIEW OF TRADES TO DETERMINE IF IT COMPLIED WITH THE NASD MARKUP POLICY, DID NOT SPECIFY WHAT ACTION TO TAKE IF A MARKUP/MARKDOWN VIOLATED THE NASD MARKUP POLICY, THE FIRM RELIED ON AN INTERNAL SYSTEM TO AUTOMATE FIPS REPORTING THAT DID NOT ACCURATELY REPORT FIPS TRADES AND THE FIRM HAD NO PROCEDURES IN PLACE TO MONITOR THE ACCURACY OF THE FIPS REPORTS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/28/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $4,514,225.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CITIGROUP GLOBAL MARKETS INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED, FINED $4,514,225, REQUIRED TO PAY $485,775 IN RESTITUTION TO PUBLIC CUSTOMERS, AND REQUIRED TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES FOR DISTRESSED AND HIGH YIELD BONDS AS TO FAIR PRICING, TRADE REPORTING AND BOOKS AND RECORDS, AND, WITHIN 60 BUSINEESS DAYS OF ACCEPTANCE OF THE AWC BY THE NAC, A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT TO NASD A SIGNED LETTER REPRESENTING THAT THE FIRM HAS REVISED ITS WRITTEN SUPERVISORY PROCEDURES TO ADDRESS THE DEFICIENCIES AND THE DATE OF IMPLEMENTATION. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 08/16/2004 Initiated By: NASD - DEPARTMENT OF MARKET REGULATION Date initiated: 07/27/2004 Docket/ Case Number: CMS040113 Allegations: ALLEGATIONS THAT THE FIRM CHARGED EXCESSIVE MARK-UPS IN CONNECTION WITH THREE PAIRS OF TRANSACTIONS IN DISTRESSED DEBT WITH INSTITUTIONAL CLIENTS EXECUTED FROM NOVEMBER 21, 2000 THROUGH FEBRUARY 14, 2002; ALLEGATIONS THAT DURING THAT PERIOD THE FIRM DID NOT PROVIDE APPROPRIATE SUPERVISION OF PRICING ON ITS INVESTMENT GRADE AND HIGH YIELD CORPORATE BOND DESKS; AND ALLEGATIONS THAT DURING THAT PERIOD THE FIRM'S RECORDS AND TRADE REPORTING SYSTEMS FOR TRANSACTIONS DONE ON THE DESKS WERE NOT RELIABLE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/27/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure NASD BrokerCheck October 14, 2005 Page 21 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $4,514,225.00 Other Sanctions: $485,775.00 RESTITUTION; UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES FOR DISTRESSED AND HIGH YIELD BONDS FAIR PRICING, TRADE REPORTING AND BOOKS AND RECORDS Resolution Details: CENSURE; A FINE OF $5,000,000.00 (CONSISTING OF $485,775.00 RESTITUTION, $1,514,225.00 FINE FOR ALLEGED VIOLATIONS OF THE NASD'S MARK-UP INTERPRETATION ("INTERPRETATION") AND TRANSACTION REPORTING REQUIREMENTS, A FINE OF $1,500,000.00 FOR ALLEGED VIOLATIONS OF SUPERVISORY REQUIREMENTS PERTAINING TO APPLICATION OF THE INTERPRETATION TO HIGH YIELD AND DISTRESSED BONDS, AND A FINE OF $1,500,000.00 FOR ALLEGED VIOLATIONS OF RELATED RECORD KEEPING REQUIRMENTS); AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES FOR DISTRESSED AND HIGH YIELD BONDS FAIR PRICING, TRADE REPORTING AND BOOKS AND RECORDS. Summary: SOLELY FOR THE PURPOSE OF CONCLUDING THE PROCEEDING AND WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, BY EXECUTION OF A LETTER OF ACCEPTANCE, WAIVER AND CONSENT DATED JULY 27, 2004, THE FIRM CONSENTED TO CENSURE, FINES TOTALING $4,514,225.00, RESTITUTION IN THE AMOUNT OF $485,775.00 AND AN UNDERTAKING TO REVISE WRITTEN SUPERVISORY PROCEDURES FOR DISTRESSED AND HIGH YIELD BONDS FAIR PRICING, TRADE REPORTING AND BOOKS AND RECORDS. ****** REGULATORY ACTION (17 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/20/2004 Initiated By: NASD Date initiated: 07/16/2004 Docket/ Case Number: CAF040055 Allegations: NASD RULE 2110, IM-10100 - CITIGROUP GLOBAL MARKETS, INC. FAILED TO COMPLY WITH DISCOVERY OBLIGATIONS UNDER THE CODE OF ARBITRATION PROCEDURE OR UNDER OTHER APPLICABLE SELF-REGULATORY CODES OF ARBITRATION IN SIX ARBITRATION PROCEEDINGS AND FAILED TO PRODUCE DOCUMENTS SOUGHT BY THE CLAIMANT IN EACH CASE. AFTER DOCUMENTS HAD NOT BEEN PRODUCED, MOTIONS TO COMPEL WERE FILED AND ORDERS WERE ISSUED BY THE ARBITRATION PANELS REQUIRING THE FIRM TO PRODUCE DOCUMENTS BY SPECIFIC DATES, AND DESPITE THE ORDERS, THE FIRM FAILED TO PRODUCE DOCUMENTS AS REQUIRED. THE ARBITRATION PANELS SANCTIONED THE FIRM FOR THESE DISCOVERY VIOLATIONS ON AMOUNTS RANGING FROM $450 TO $5,000 AS WELL AS DRAWING AN ADVERSE INFERENCE IN ONE MATTER AND DISMISSING THE FIRM'S CLAIM IN ANOTHER PROCEEDING. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/16/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CITIGROUP GLOBAL MARKETS CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED, FINED $250,000, AND REQUIRED TO, WITHIN 30 DAYS OF ISSUANCE OF THIS AWC, TO NOTIFY ALL COUNSEL HANDLING ARBITRATION PROCEEDINGS FOR THE FIRM OF THE FIRM'S POLICY TO COMPLY WITH DISCOVERY REQUIREMENTS AND TO COMPLY WITH ALL ORDERS OF ARBITRATION PANELS RELATING TO DISCOVERY OBLIGATIONS; ESTABLISH A WRITTEN PROCEDURE FOR REVIEW BY AN ATTORNEY WITH MANAGEMENT RESPONSIBILITIES IN THE LEGAL DEPT. OF THE FIRM OF ANY ORDER BY AN ARB PANEL GRANTING A MOTION TO COMPEL AND REQUIRING THE FIRM TO PRODUCE DOCUMENTS; ESTABLISH A WRITTEN PROCEDURE FOR REVIEW BY A MANAGING DIRECTOR WITH RESPONSIBILITY FOR LITIGATION OF ANY INSTANCE WHERE AN ARB PANEL HAS SANCTIONED THE FIRM FOR VIOLATION OF DISCOVERY OBLIGATIONS OR FOR FAILURE TO COMPLY WITH AN ORDER OF THE ARB PANEL REGARDING DISCOVERY NASD BrokerCheck October 14, 2005 Page 22 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) MATTERS. THE MANAGING DIRECTOR SHALL REVIEW SUCH INSTANCES TO ENSURE THE APPROPRIATE STEPS ARE TAKEN. AT SIX MONTHS AND ONE YEAR FROM DATE OF THIS AWC, THE FIRM SHALL CONFIRM TO NASD THAT THE FIRM HAS COMPLIED WITH THESE PROCEDURES AND INFORM NASD ON THOSE DATES OF ANY REVIEW BY THE MANAGING DIRECTOR AND ANY ACTIONS TAKEN IN RESPONSE TO SUCH REVIEW. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 08/16/2004 Initiated By: NASD - DEPARTMENT OF ENFORCEMENT Date initiated: 07/16/2004 Docket/ Case Number: CAF040055 Allegations: ALLEGATION THAT IN SIX ARBITRATION PROCEDINGS DURING THE PERIOD 2001-2003 THE FIRM FAILED TO COMPLY WITH ITS DISCOVERY OBLIGATIONS UNDER THE CODE OF ARBITRATION PROCEDURE OR UNDER OTHER APPLICABLE SELF-REGULATORY ORGANIZATION'S CODES OF ARBITRATION PROCEDURE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/16/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Other Sanctions: SEE 12.C. BELOW Resolution Details: CENSURE; FINE OF $250,000.00; NOTIFICATION TO ALL CITIGROUP GLOBAL MARKETS INC. ("CGMI") ATTORNEYS HANDLING ARBITRATION PROCEEDINGS OF THE FIRM'S POLICY TO COMPLY WITH ALL DISCOVERY REQUIREMENTS; ESTABLISHMENT OF WRITTEN PROCEDURES FOR LEGAL DEPARTMENT REVIEW OF ORDERS REQUIRING THE FIRM TO PRODUCE DOCUMENTS; ESTABLISHMENT OF WRITTEN PROCEDURES FOR LEGAL REVIEW OF INSTANCES WHERE THE FIRM HAS BEEN SANCTIONED FOR VIOLATIONS OF DISCOVERY OBLIGATIONS OR FOR FAILURE TO COMPLY WITH ARBITRATION PANEL ORDERS REGARDING DISCOVERY MATTER. Summary: SOLELY FOR THE PURPOSE OF CONCLUDING THE PROCEEDING AND WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, BY EXECUTION OF A LETTER OF ACCEPTANCE, WAIVER AND CONSENT DATED JULY 16, 2004 THE FIRM CONSENTED TO THE SANCTIONS CITED IN 12.C. ABOVE. THE AWC RELATES SOLELY TO THE SIX (6) CASES CITED THEREIN AND DOES NOT RELATE TO CGMI'S DISCOVERY PRACTICES IN OTHER ARBITRATION PROCEEDINGS. ****** REGULATORY ACTION (18 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/19/2004 Initiated By: STATE OF VIRGINIA - STATE CORPORATION COMMISSION, DIVISION OF SECURITIES AND RETAIL FRANCHISING Date initiated: 06/25/2004 Docket/ Case Number: SEC-2003-00038 Allegations: ALLEGATION THAT THE FIRM VIOLATED COMMISSION RULE 21 VAC 5-20-260 B DUE TO ITS FAILURE TO EXERCISE DILIGENT SUPERVISION OVER THE ACTIONS OF TWO OF ITS REGISTERED REPRESENTATIVES. Current Status: Final Resolution: Settled Resolution Date: 06/25/2004 Sanctions NASD BrokerCheck October 14, 2005 Page 23 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: PAYMENT OF $22,486.00 TO DEFRAY THE COSTS OF INVESTIGATION Resolution Details: PENALTY IN THE AMOUNT OF FIFTY THOUSAND DOLLARS ($50,000.00) AND THE SUM OF TWENTY-TWO THOUSAND FOUR HUNDRED EIGHTY-SIX DOLLARS ($22,486.00) TO DEFRAY THE COSTS OF INVESTIGATION WERE PAID ON JUNE 25, 2004. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A PENALY IN THE AMOUNT OF FIFTY THOUSAND DOLLARS ($50,000.00) AND AGREED TO PAY THE SUM OF TWENTY-TWO THOUSAND FOUR HUNDRED EIGHT-SIX DOLLARS ($22,486.00) TO DEFRAY THE COSTS OF THE INVESTIGAION. ****** REGULATORY ACTION (19 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/16/2004 Initiated By: STATE OF SOUTH CAROLINA - SECURITIES DIVISION, OFFICE OF THE ATTORNEY GENERAL Date initiated: 06/29/2004 Docket/ Case Number: FILE NO. 03083 Allegations: IN THIS REGULATORY ACTION, THE STATE OF SOUTH CAROLINA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB") ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF SOUTH CAROLINA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 06/29/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,834,780.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDEMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF SOUTH CAROLINA $1,854,780.00 AS A MONETARY PENALTY. SSB ALSO NASD BrokerCheck October 14, 2005 Page 24 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON JUNE 29, 2004 THE STATE OF SOUTH CAROLINA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF SOUTH CAROLINA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (20 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2004 Initiated By: STATE OF LOUISIANA - OFFICE OF FINANCIAL INSTITUTIONS - COMMISSIONER OF SECURITIES Date initiated: 05/26/2004 Docket/ Case Number: Allegations: IN THIS REGULATORY ACTION, THE STATE OF LOUISIANA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF LOUISIANA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CETAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 05/26/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,066,038.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. NASD BrokerCheck October 14, 2005 Page 25 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF LOUISIANA $2,066,038.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE FO NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON MAY 26, 2004 THE STATE OF LOUISIANA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF LOUISIANA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (21 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/19/2004 Initiated By: BOARD OF GOVERNORS - FEDERAL RESERVE SYSTEM Date initiated: 05/27/2004 Docket/ Case Number: Allegations: ALLEGED VIOLATIONS AND DEFICIENCIES BY SUBSIDIARY CITIFINANCIAL CREDIT COMPANY ("CITIFINANCIAL"). IT WAS ALLEGED CITIFINANCIAL FAILED TO COMPLY WITH SEC. 202.7(D)(1) OF FEDERAL RESERVE BOARD REGULATION B AND 15 U.S.C. 1691 ET SEQ., WHICH PROHIBIT A CREDITOR FROM REQUIRING THE SIGNATURE OF A CO-APPLICANT IF THE APPLICANT QUALIFIES BASED ON HIS OR HER CREDITWORTHINESS. IT WAS ALSO ALLEGED THAT CITIFINANCIAL ENGAGED IN UNSAFE AND UNSOUND PRACTICES UNDER 12 U.S.C. 1818(I)(2)(B) IN CONNECTION WITH ITS UNDERWRITING AND LENDING PRACTICES WITH RESPECT TO CERTAIN LOANS SUBJECT TO 15 U.S.C. 1639 AND FEDERAL RESERVE REGULATION Z. FINALLY, IT WAS ALLEGED CITIFINANCIAL ENGAGED IN UNSAFE AND UNSOUND PRACTICES UNDER 12 U.S.C. 1818(I)(2)(B) RELATING TO ITS ACTIONS TO ALLEGEDLY MISLEAD EXAMINERS IN CONNECTION WITH EXAMINER INTERVIEWS OF CITIFINANCIAL EMPLOYEES. Current Status: Final Resolution: Consent Resolution Date: 05/27/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $70,000,000.00 Resolution Details: CITIGROUP AND CITIFINANCIAL CREDIT COMPANY CONSENTED TO THE IMPOSITION OF AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY (THE "ORDER"). UNDER THE ORDER, CITIFINANCIAL AND ITS INSTITUTION-AFFILIATED PARTIES NASD BrokerCheck October 14, 2005 Page 26 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) MUST CEASE AND DESIST FROM PRACTICES AND POLICIES THAT VIOLATE SEC. 202.7(D)(1) OF FEDERAL RESERVE REGULATION B AND FROM UNSAFE AND UNSOUND PRACTICES IN CONNECTION WITH CITIFINANCIAL'S UNDERWRITING AND LENDING ACTIVITIES. THEY ALSO MUST NOT VIOLATE SEC. 202.7(D)(1) OF REGULATION B AND MUST COMPLY WITH ALL APPLICABLE CONSUMER PROTECTION LAWS, RULES AND REGULATIONS. CITIFINANCIAL MUST SUBMIT A RESTITUTION PLAN TO THE FEDERAL RESERVE CONCERNING THE ALLEGED REGULATION B AND REGULATION Z VIOLATIONS AND PAY A CIVIL MONETARY PENALTY OF $70 MILLION SUBJECT TO A PARTIAL CREDIT OF UP TO $20 MILLION TO THE EXTENT THAT RESTITUTION PAYMENTS ARE MADE. THE TOTAL AVAILABLE FUNDS AVAILABLE FOR RESTITUTION ARE EXPECTED TO EXCEED $50 MILLION. FINALLY, THE ORDER IMPOSES CERTAIN REMEDIAL MEASURES IN THE AREAS OF COMPLIANCE, AUDIT, TRAINING, INTERNAL CONTROLS AND INTERACTIONS WITH REGULATORY AUTHORITIES. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS MATTER, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR CONCLUSIONS MADE OR IMPLIED BY THE BOARD OF GOVERNORS IN CONNECTION WITH THIS MATTER, RESPONDENTS AGREED TO THE SANCTIONS SET FORTH ABOVE IN 12. ****** REGULATORY ACTION (22 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 05/20/2004 Initiated By: STATE OF ILLINOIS - SECRETARY OF STATE, SECURITIES DEPARTMENT Date initiated: 03/12/2004 Docket/ Case Number: CASE NO. 0400009 Allegations: IN THIS REGULATORY ACTION, THE STATE OF ILLINOIS ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF ILLINOIS ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 03/12/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $5,741,524.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS000 RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION NASD BrokerCheck October 14, 2005 Page 27 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF ILLINOIS $5,741,524.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON MARCH 12, 2004 THE STATE OF ILLINOIS EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF ILLINOIS AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (23 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/04/2004 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 04/26/2004 Docket/ Case Number: HPD# 04-91 Allegations: **04/26/2004** STIPULATION EXECUTED ALLEGATIONS: 1. VIOLATED EXCHANGE RULE 342(A) AND (B) IN THAT IT FAILED TO ESTABLISH ADEQUATE CONTROLS, INCLUDING A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW, TO ENSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS FOR: A. ORDER HANDLING PROCEDURES, WHICH RESULTED IN IMPROPER POST-EXECUTION ALLOCATIONS OF SHARES TO CUSTOMER ACCOUNTS AND B. MAKING AND PRESERVING REQUIRED AND TIMELY RECORDS RELATING TO DESIGNATION AND EXECUTION OF CUSTOMER ORDERS. 2. VIOLATED EXCHANGE RULE 410 BY FAILING TO MAKE AND PRESERVE REQUIRED RECORDS RELATING TO THE DESIGNATION OF CUSTOMER ORDERS EXECUTED ON THE FLOOR OF THE EXCHANGE. 3. VIOLATED OF EXCHANGE RULES 440 AND SEC REGULATIONS § 240.17A-3 AND 17A-4 BY FAILING TO MAKE AND PRESERVE REQUIRED AND TIMELY RECORDS RELATING TO RECEIPT AND EXECUTION OF CUSTOMER ORDERS. SANCTION: CONSENT TO CENSURE AND A $250,000 FINE. Current Status: Final Resolution: Decision Resolution Date: 07/14/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Resolution Details: **07/07/2004** DECISION 04-91 - ISSUED BY THE NYSE HEARING PANEL 1. VIOLATED EXCHANGE RULE 342(A) AND (B) IN THAT IT FAILED TO ESTABLISH ADEQUATE CONTROLS, INCLUDING A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW, TO ENSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS FOR: A. ORDER HANDLING PROCEDURES, WHICH RESULTED IN IMPROPER POST-EXECUTION ALLOCATIONS OF SHARES TO CUSTOMER ACCOUNTS AND B. MAKING AND PRESERVING REQUIRED AND TIMELY RECORDS RELATING TO DESIGNATION AND EXECUTION OF CUSTOMER ORDERS. 2. VIOLATED EXCHANGE RULE 410 BY FAILING TO MAKE AND PRESERVE REQUIRED RECORDS RELATING NASD BrokerCheck October 14, 2005 Page 28 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) TO THE DESIGNATION OF CUSTOMER ORDERS EXECUTED ON THE FLOOR OF THE EXCHANGE. 3. VIOLATED OF EXCHANGE RULES 440 AND SEC REGULATIONS § 240.17A-3 AND 17A-4 BY FAILING TO MAKE AND PRESERVE REQUIRED AND TIMELY RECORDS RELATING TO RECEIPT AND EXECUTION OF CUSTOMER ORDERS. CONSENT TO CENSURE AND A $250,000 FINE. Summary: **07/14/2004** THE DECISION IS NOW FINAL AND IS EFFECTIVE IMMEDIATELY. CONTACT: MICHELE VAN TASSEL (212) 656-5340. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/22/2004 Initiated By: NEW YORK STOCK EXCHANGE - DIVISION OF ENFORCEMENT Date initiated: 04/26/2004 Docket/ Case Number: D-NYSE-04-244 Allegations: IT WAS ALLEGED THAT THE FIRM FAILED TO ESTABLISH ADEQUATE CONTROLS IN THE FIRM'S MIAMI, FLORIDA BRANCH OFFICE TO ENSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS REGARDING ORDER HANDLING PROCEDURES AND MAKING AND PRESERVING REQUIRED RECORDS RELATING TO DESIGNATION AND EXECUTION OF CUSTOMER ORDERS IN VIOLATION OF EXCHANGE RULE 342 (A) AND (B). IT WAS FURTHER ALLEGED THAT THE FIRM, IN THE FIRM'S MIAMI, FLORIDA BRANCH OFFICE, FAILED TO MAKE AND PRESERVE REQUIRED RECORDS RELATING TO THE DESIGNATION OF CUSTOMER ORDERS EXECUTED ON THE FLOOR OF THE EXCHANGE IN VIOLATION OF EXCHANGE RULE 410. FINALLY, IT WAS ALLEGED THAT THE FIRM VIOLATED EXCHANGE RULES 440 AND SEC REGULATIONS SECT. 240.17A-3 AND 17A-4 BY FAILING TO MAKE AND PRESERVE REQUIRED RECORDS RELATING TO THE RECEIPT AND EXECUTION OF CUSTOMER ORDERS IN THE FIRM'S MIAMI, FLORIDA BRANCH OFFICE. Current Status: Final Resolution: Settled Resolution Date: 07/14/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Resolution Details: CENSURE AND FINE IN THE AMOUNT OF TWO HUNDRED FIFTY THOUSAND DOLLARS ($250,000.00). Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE AMOUNT OF TWO HUNDRED FIFTY THOUSAND DOLLARS ($250,000.00). ****** REGULATORY ACTION (24 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/23/2004 Initiated By: VERMONT Date initiated: 07/01/2002 Docket/ Case Number: 03-070-S Allegations: VIOLATIONS OF THE VERMONT SECURITIES ACT IN THAT (A) FIRM FAILED TO ENSURE THAT ANALYSTS WHO ISSUED RESEARCH WERE ADEQUATELY INSULATED FROM PRESSURES AND INFLUENCES FROM COVERED COMPANIES AND INVESTMENT BANKING WHICH CONDUCT IS A DISHONEST AND UNETHICAL PRACTICE UNDER SECTION 4221A(A)(8) OF THE ACT; AND (B) FIRM FAILED TO REASONABLY SUPERVISE ITS EMPLOYEES TO ENSURE THAT ITS ANALYSTS WHO ISSUED RESEARCH WERE ADEQUATELY INSULATED FROM PRESSURES AND INFLUENCES FROM COVERED COMPANIES AND INVESTMENT BANKING AS REQUIRED BY SECTION 4221A(A) OF THE ACT. Current Status: Final Resolution: Order NASD BrokerCheck October 14, 2005 Page 29 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 11/19/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Resolution Details: GLOBAL SETTLEMENT RESULTING FROM INVESTIGATION OF ANALYST TASK FORCE. FIRM ADMITS THE JURISDICTION OF THE COMMISSIONER, NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ORDER, AND CONSENTS TO THE ENTRY OF THIS ORDER BY THE COMMISSIONER. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: STATE OF VERMONT - DEPT. OF BANKING, INSURANCE, SECURITIES AND HEALTH CARE ADMINISTRATION Date initiated: 11/19/2003 Docket/ Case Number: NO. 03-070-S Allegations: IN THIS REGULATORY ACTION, THE STATE OF VERMONT ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THOUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF VERMONT ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 11/19/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF VERMONT $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. NASD BrokerCheck October 14, 2005 Page 30 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON NOVEMBER 19, 2003 THE STATE OF VERMONT EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF VERMONT AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (25 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/19/2004 Initiated By: IOWA Date initiated: 04/15/2002 Docket/ Case Number: C04-12-433 Allegations: ISSUED FRAUDULENT REPORTS,PUBLISHED EXAGGERATED STATEMENTS AND MADE RECOMMENDATIONS WITHOUT A REASONABLE BASIS, BUSINESS PRACTICES ALLOWED INVESTMENT BANKERS INAPPROPRIATE INFLUENCE OVER RESEARCH ANALYSTS, ALLOWED MISUSE OF MATERIAL, NON-PUBLIC INFORMATION, ALLOWED SPINNING, INACCURATE RECORDS AS TO IPO DISTRIBUTIONS, FAILURE TO SUPERVISE. Current Status: Final Resolution: Consent Resolution Date: 02/16/2004 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500,000.00 Other Sanctions: RESPONDENT CONSENTED TO THE ENTRY OF THE ORDER WITHOUT ADMITTING OR DENYING THE FINDINGS OF FAC OR CONCLUSIONS OF LAW. Resolution Details: ONE OF SEVERAL SETTLEMENTS - ANALYST TASK FORCE. RESPONDENT ALSO AGREED TO SEVERAL UNDERTAKINGS. Summary: N/A *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/09/2004 Initiated By: IOWA INSURANCE DIVISION, IOWA SECURITIES BUREAU Date initiated: 02/16/2004 Docket/ Case Number: C04-12-433 Allegations: IN THIS REGULATORY ACTION THE STATE OF IOWA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF IOWA ALLEGED THAT SSB ENGAGED IN NASD BrokerCheck October 14, 2005 Page 31 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 02/16/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF IOWA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENT. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON FEBRUARY 16, 2004 THE STATE OF IOWA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT, SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF IOWA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (26 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: WEST VIRGINIA STATE AUDITOR AND COMMISSIONER OF SECURITIES -WEST VIRGINIA SECURITIES DIVISION Date initiated: 12/29/2003 NASD BrokerCheck October 14, 2005 Page 32 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Docket/ Case Number: MATTER NO. E03-1354 Allegations: IN THIS REGULATORY ACTION, THE STATE OF WEST VIRGINIA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF WEST VIRGINIA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIRMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 12/29/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF WEST VIRGINIA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE;, AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 29, 2003 THE STATE OF WEST VIRGINIA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF WEST VIRGINIA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. NASD BrokerCheck October 14, 2005 Page 33 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (27 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/15/2004 Initiated By: UTAH DIVISION OF SECURITIES Date initiated: 10/20/2003 Docket/ Case Number: SD-03-0046 Allegations: RESEARCH ANALYST CONFLICTS OF INTEREST Current Status: Final Resolution: Consent Resolution Date: 10/20/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Resolution Details: $1,500,000.00 CIVIL MONETARY PENALTY TO BE PAID AS FOLLOWS: $1,000,000.00 DUE AND PAYABLE UPON EXECUTION OF THIS CONSENT ORDER AND $500,000.00 DUE AND PAYABLE ON AUGUST 1, 2004. Summary: FOR MORE INFORMATION, PLEASE VISIT THE DIVISION'S WEB SITE AT: HTTP://WWW.SECURITIES.STATE.UT.US/ACTIONSEVENTS.ASP?DOCKET+NUMB ER=SD%2D03%2D0046 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/22/2004 Initiated By: STATE OF UTAH - DEPARTMENT OF COMMERCE, DIVISION OF SECURITIES Date initiated: 10/26/2003 Docket/ Case Number: DOCKET NO. SD-03-0046 Allegations: IN THIS REGULATORY ACTION, THE STATE OF UTAH ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF UTAH ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLICE INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/26/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO NASD BrokerCheck October 14, 2005 Page 34 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF UTAH $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTD TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 26, 2003 THE STATE OF UTAH EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF UTAH AS SET FORTH IN #7 ABOVE, AND AGRERED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (28 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: PUERTO RICO COMMISSIONER OF FINANCIAL INSTITUTIONS Date initiated: 12/11/2003 Docket/ Case Number: C 03-V-013 Allegations: IN THIS REGULATORY ACTION, THE COMMONWEALTH OF PUERTO RICO ALLEGED VIOLATIONS OF CERTAIN COMMONWEALTH LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE COMMONWEALTH OF PUERTO RICO ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESETMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled NASD BrokerCheck October 14, 2005 Page 35 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 12/11/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,760,746.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN COMMONWEALTH LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE COMMONWEALTH OF PUERTO RICO 1,760,746.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 11, 2003 THE COMMONWEALTH OF PUERTO RICO EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE COMMONWEALTH OF PUERTO RICO AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (29 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/02/2004 Initiated By: PA SECURITIES COMMISSION CONTACT: G. PHILIP RUTLEDGE (717) 787-8059 Date initiated: 12/22/2003 Docket/ Case Number: 2003-04-48 Allegations: THIS ACTION IS IN CONNECTION WITH THE GLOBAL ANALYST SETTLEMENT WHICH INCORPORATED THE FINAL JUDGMENT OF THE U.S. DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK, CIVIL ACTION NO. 03 CIV. 2945 (WHP) ENTERED OCTOBER 31, 2003. Current Status: Final Resolution: Settled Resolution Date: 12/22/2003 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 14, 2005 Page 36 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $5,677,615.00 Resolution Details: RESPONDENT CITIGROUP GLOBAL MARKETS, INC., F/K/A SALOMON SMITH BARNEY PAID A $5,677,615.00 ADMINISTRATIVE ASSESSMENT. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: PENNSYLVANIA SECURITIES COMMISSION Date initiated: 12/22/2003 Docket/ Case Number: DOCKET NO. 2003-03-48 Allegations: IN THIS REGULATORY ACTION, THE STATE OF PENNSYLVANIA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF PENNSYLVANIA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUCLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 12/22/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $5,677,615.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF PENNSYLVANIA $5,677,615.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NASD BrokerCheck October 14, 2005 Page 37 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 22, 2003 THE STATE OF PENNSYLVANIA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF AN ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF PENNSYLVANIA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (30 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: OHIO DEPARTMENT OF COMMERCE, DIVISION OF SECURITIES Date initiated: 12/12/2003 Docket/ Case Number: Allegations: IN THIS REGULATORY ACTION, THE STATE OF OHIO ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF OHIO ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MMAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 12/12/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $5,248,634.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF OHIO $5,248,634.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. NASD BrokerCheck October 14, 2005 Page 38 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 12, 2003 THE STATE OF OHIO EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF OHIO AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (31 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: STATE OF NORTH CAROLINA - DEPARTMENT OF THE SECRETARY OF STATE, SECURITIES DIVISION Date initiated: 01/20/2004 Docket/ Case Number: FILE NO.03-008-IG Allegations: IN THIS REGULATORY ACTION, THE STATE OF NORTH CAROLINA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BANRY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING TH PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF NORTH CAROLINA AGGEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED Current Status: Final Resolution: Settled Resolution Date: 01/20/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $3,721,252.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR RO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF NORTH CAROLINA $3,721,252.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND NASD BrokerCheck October 14, 2005 Page 39 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON JANUARY 20, 2004 THE STATE OF NORTH CAROLINA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF NORTH CAROLINA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (32 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: NEW MEXICO SECURITIES DIVISION Date initiated: 12/29/2003 Docket/ Case Number: ORDER NO. 03-03-033-052(CO) Allegations: IN THIS REGULATORY ACTION, THE STATE OF NEW MEXICO ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF NEW MEXICO ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUCLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 12/29/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORSMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING NASD BrokerCheck October 14, 2005 Page 40 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF NEW MEXICO $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENST: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 29, 2003 THE STATE OF NEW MEXICO EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF NEW MIXICO AS SET FORTH IN #7 ABOVE, AND AGREED TO SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (33 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: STATE OF NEW HAMPSHIRE - DEPARTMENT OF STATE, BUREAU OF SECURITIES REGULATION Date initiated: 01/16/2004 Docket/ Case Number: Allegations: IN THIS REGULATORY ACTION, THE STATE OF NEW HAMPSHIRE ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF NEW HAMPSHIRE ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 01/16/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 NASD BrokerCheck October 14, 2005 Page 41 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENTS OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF NEW HAMPSHIRE $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON JANUARY 16, 2004 THE STATE OF NEW HAMPSHIRE EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF NEW HAMPSHIRE AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (34 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: STATE OF NEBRASKA - DEPT. OF BANKING AND FINANCE Date initiated: 12/15/2003 Docket/ Case Number: Allegations: IN THIS REGULATORY ACTION, THE STATE OF NEBRASKA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF NEBRASKA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTICVITIES. Current Status: Final NASD BrokerCheck October 14, 2005 Page 42 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution: Settled Resolution Date: 12/15/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF NEBRASKA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OOPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPLULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 15, 2003 THE STATE OF NEBRASKA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTIGNG OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF NEBRASKA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (35 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: MONTANA STATE AUDITOR AND COMMISSIONER OF SECURITIES Date initiated: 12/17/2003 Docket/ Case Number: CASE NO.105-01-03-117 Allegations: IN THIS REGULATORY ACTION, THE STATE OF MONTANA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF MONTANA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED NASD BrokerCheck October 14, 2005 Page 43 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 12/17/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF MONTANA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 17, 2003 THE STATE OF MONTANA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF MONTANA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (36 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: DISTRICT OF COLUMBIA - DEPARTMENT OF INSURANCE AND SECURITIES REGULATION Date initiated: 12/11/2003 Docket/ Case Number: SEC CO 03-07 Allegations: IN THIS REGULATORY ACTION, THE DISTRICT OF COLUMBIA ALLEGED NASD BrokerCheck October 14, 2005 Page 44 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) VIOLATIONS OF CERTAIN DISTRICT LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE DISTRICT OF COLUMBIA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFROMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 12/11/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE DISTRICT OF COLUMBIA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW. SEC. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 11, 2003 THE DISTRICT OF COLUMBIA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE DISTRICT OF COLUMBIA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (37 of 263) ****** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 14, 2005 Page 45 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date Reported: 02/13/2004 Initiated By: STATE OF COLORADO - DIVISION OF SECURITIES, DEPARTMENT OF REGULATORY AGENCIES Date initiated: 12/08/2003 Docket/ Case Number: ORDER NO. 04-L-24 Allegations: IN THIS REGULATORY ACTION, THE STATE OF COLORADO ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF COLORADO ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPRORIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 12/08/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,988,502.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATON. SSB PAID THE STATE OF COLORADO $1,988,502.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN TTHE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 8, 2003 THE STATE OF COLORADO EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE NASD BrokerCheck October 14, 2005 Page 46 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF COLORADO AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (38 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: STATE OF CALIFORNIA - DEPT. OF CORPORATIONS - BUSINESS, TRANSPORTATION AND HOUSING AGENCY Date initiated: 12/15/2003 Docket/ Case Number: Allegations: IN THIS REGULATORY ACTION, THE STATE OF CALIFORNIA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF CALIFORNIA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FUTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 12/15/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $15,659,096.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF CALIFORNIA $15,659,096.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVSTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AAND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND NASD BrokerCheck October 14, 2005 Page 47 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON DECEMBER 15, 2003 THE STATE OF CALIFORNIA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN TEHE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CDERTAIN LAWS OF THE STATE OF CALIFORNIA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (39 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: ARIZONA CORPORATION COMMISSION - SECURITIES DIVISION Date initiated: 01/29/2004 Docket/ Case Number: S-03538A-03-0000 Allegations: IN THIS REGULATORY ACTION, THE STATE OF ARIZONA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF ARIZONA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 01/29/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,371,926.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2002 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF ARIZONA $2,371,926.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. NASD BrokerCheck October 14, 2005 Page 48 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON JANUARY 29, 2003 THE STATE OF ARIZONA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PREOCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF ARIZONA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (40 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/13/2004 Initiated By: GEORGIA SECRETARY OF STATE-SECURITIES DIVISION Date initiated: 09/08/2003 Docket/ Case Number: EN-19519 Allegations: THE RESPONDENT SETTLED ALLEGATIONS THAT UNDUE INFLUENCE BY INVESTMENT BANKING DIVISION ON SECURITIES RESEARCH AT THE FIRM RESULTED IN TAINTED RESEARCH. Current Status: Final Resolution: Consent Resolution Date: 09/25/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $3,784,653.00 Other Sanctions: SEE #2 Resolution Details: FIRM AGREED TO PAY MONETARY PENALTIES, DISGORGEMENT, AND FUND INDEPENDENT RESEARCH AND INVESTOR EDUCATION. FIRM ALSO AGREED TO REFORM PRACTICES TO MINIMIZE THE POSSIBILITY OF FUTURE CONFLICTS OF INTEREST. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/16/2004 Initiated By: STATE OF GEORGIA - SECRETARY OF STATE, COMMISSIONER OF SECURITIES Date initiated: 09/08/2003 Docket/ Case Number: EN-19002 Allegations: IN THIS REGULATORY ACTION, THE STATE OF GEORGIA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING TH PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF GEORGIA ALLEGED THAT SSB ENGAGED IN NASD BrokerCheck October 14, 2005 Page 49 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) CERTAIN BUSINESS PARCTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES ANND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 09/25/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $3,784,653.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION AS DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF GEORGIA $3,784,653.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL FOR THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON SEPTEMBER 29, 2003 THE STATE OF GEORGIA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF GEORGIA AS SET FORTH IN #7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (41 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/07/2004 Initiated By: OKLAHOMA Date initiated: 05/15/2003 NASD BrokerCheck October 14, 2005 Page 50 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Docket/ Case Number: ODS 03-141 Allegations: CONFLICTS OF INTEREST OF RESEARCH ANALYSTS DURING THE TIME PERIOD BEGINNING JULY 1, 1999, TO JUNE 30, 2001, TO WIT, CITIGROUP GLOBAL FAILED TO ENSURE THAT RESEARCH ANALYSTS WERE ADEQUATELY INSULATED FROM PRESSURES AND INFLUENCES FROM COVERED COMPANIES AND INVESTMENT BANKING, AND CITIGROUP GLOBAL FAILED TO REASONABLY SUPERVISE ITS EMPLOYEES TO ENSURE THAT ITS RESEARCH ANALYSTS WERE ADEQUATELY INSULATED FROM SUCH PRESSURES AND INFLUENCES. Current Status: Final Resolution: Consent Resolution Date: 10/13/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $1,595,261.00 Resolution Details: CITIGROUP GLOBAL ALSO AGREED TO COMOPLY WITH ALL UNDERTAKINGS ESTABLISHED AS PART OF THE GLOBAL ANALYST SETTLEMENT IN CONNECTION WITH THE FIRM'S RESEARCH PRACTICES. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF OKLAHOMA DEPARTMENT OF SECURITIES Date initiated: 10/13/2003 Docket/ Case Number: ODS FILE NO. 03-141 Allegations: IN THIS REGULATORY ACTION, THE STATE OF OKLAHOMA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF OKLAHOMA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACITICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/13/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,595,261.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING NASD BrokerCheck October 14, 2005 Page 51 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF OKLAHOMA $1,595,261.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 13, 2003 THE STATE OF OKLAHOMA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF OKLAHOMA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (42 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/05/2004 Initiated By: OREGON DIVISION OF FINANCE AND CORPORATE SECURITIES Date initiated: 07/24/2003 Docket/ Case Number: S-03-0035 Allegations: RESPONDENT ENGAGED IN FRAUDULENT, UNETHICAL AND DISHONEST PRACTICES IN CONNECTION WITH THE OFFER OR SALE OF SECURITIES. RESPONDENT ALSO FAILED REASONABLY TO SUPERVISE THEIR EMPLOYEES. ALL ALLEGATIONS RELATED TO PRACTICES OF THE RESEARCH AND INVESTMENT BANKING SECTIONS OF THE RESPONDENT'S FIRM. Current Status: Final Resolution: Consent Resolution Date: 09/30/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $1,581,736.00 Resolution Details: NO PORTION OF PENALTY SUSPENDED Summary: RESEARCH ANALYSTS AT THE FIRM WERE SUBJECTED TO PRESSURES FROM THE INVESTMENT BANKING SECTION OF THE FIRM TO RATE STOCKS FAVORABLY SO AS TO GAIN THE INVESTMENT BANKING BUSINESS OF THE FIRMS ISSUING THE STOCKS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF OREGON - DEPT. OF CONSUMER AND BUSINESS SERVICES, DIVISION OF FINANCE AND CORPORATE SECURITIES, SECURITIES NASD BrokerCheck October 14, 2005 Page 52 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) DIVISION Date initiated: 09/30/2003 Docket/ Case Number: S-03-0035 Allegations: IN THIS REGULATORY ACTION, THE STATE OF OREGON ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGORUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF OREGON ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RSEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 09/30/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,581,736.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION AS DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF OREGON $1,581,736.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL FOR THE STATE OF NEW YORK, AND SEVERAL STATE RSECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON SEPTEMBER 30, 2003 THE STATE OR OREGON EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOPSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF OREGON AS SET FORTH IN #7, ABOVE, AND NASD BrokerCheck October 14, 2005 Page 53 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (43 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: STATE OF MARYLAND OFFICE OF THE ATTORNEY GENERAL - DIVISION OF SECURITIES Date initiated: 11/21/2003 Docket/ Case Number: 2003-46 Allegations: IN THIS REGULATORY ACTION, THE STATE OF MARYLAND ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING TH PERIOD 1996 THORUGH 2000. THE STATE OF MARYLAND ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPRER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 11/21/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,448,601.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SST PAID THE STATE OF MARYLAND $2,448,601.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW NASD BrokerCheck October 14, 2005 Page 54 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON NOVEMBER 21, 2003 THE STATE OF MARYLAND EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF MARYLAND AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (44 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: WYOMING SECRETARY OF STATE AND THE WYOMING ATTORNEY GENERAL Date initiated: 10/30/2003 Docket/ Case Number: ORDER NO. 02-15 Allegations: IN THIS REGULATORY ACTION, THE STATE OF WYOMING ALLEGED VIOLATION OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF WYOMING ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CURCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/30/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF WYOMING $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE NASD BrokerCheck October 14, 2005 Page 55 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 30, 2003 THE STATE OF WYOMING EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF WYOMING AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (45 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/14/2004 Initiated By: VIRGINIA - DIVISION OF SECURITIES Date initiated: 11/25/2003 Docket/ Case Number: SEC-2003-00020 Allegations: COMMISSION RULES 21 VAC 5-20-260 B, 21 VAC 5-20-280 A 18 AND 21 VAC 5-20-280 E 12 WERE VIOLATED. CONTACT THE UNDERSIGNED FOR FURTHER INFORMATION ABOUT THE CONCLUSIONS OF LAW. Current Status: Final Resolution: Settled Resolution Date: 11/25/2003 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,272,446.00 Other Sanctions: CONTACT UNDERSIGNED FOR FURTHER INFORMATION Resolution Details: CONTACT UNDERSIGNED FOR FURTHER INFORMATION Summary: $3,272,446.00 WAS RECEIVED AS PART OF THE SETTLEMENT AGREEMENT CITIGROUP GLOBAL MARKETS, INC. ENTERED INTO WITH ALL FIFTY STATES, THE DISTRICT OF COLUMBIA AND THE COMMONWEALTH OF PUERTO RICO, THROUGH A COMMITTEE OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"). JURISDICTION REPORTING INCIDENT: VIRGINIA, STATE CORPORATION COMMISSION, DIVISION OF SECURITIES & RETAIL FRANCHISING. CONTACT KEVIN M. FURR AT 804-371-9081. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: STATE OF VIRGINIA - STATE CORPORATION COMMISSION Date initiated: 11/25/2003 Docket/ Case Number: CASE NO. SEC-2003-00020 Allegations: IN THIS REGULATORY ACTION, THE STATE OF VIRGINIA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD NASD BrokerCheck October 14, 2005 Page 56 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) 1996 THROUGH 2000. THE STATE OF VIRGINIA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CURCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 11/25/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $3,272,446.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF VIRGINIA $3,272,446.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPLULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON NOVEMBER 25, 2003 THE STATE OF VIRGINIA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF VIRGINIA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (46 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: STATE OF SOUTH DAKOTA - DEPT. OF REVENUE AND REGULATION, DIVISION OF SECURITIES NASD BrokerCheck October 14, 2005 Page 57 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 11/24/2003 Docket/ Case Number: CASE #650 Allegations: IN THIS REGULATORY ACTION, THE STATE OF SOUTH DAKOTA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF SOUTH DAKOTA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 11/24/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCURMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF SOUTH DAKOTA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTIONS WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXCEUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON NOVEMBER 24, 2003 THE STATE OF SOUTH DAKOTA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF SOUTH DAKOTA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. NASD BrokerCheck October 14, 2005 Page 58 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (47 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/09/2004 Initiated By: NORTH DAKOTA Date initiated: 11/21/2003 Docket/ Case Number: Allegations: SEE GLOBAL SETTLEMENT. Current Status: Final Resolution: Consent Resolution Date: 11/21/2003 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500,000.00 Resolution Details: $1,455,000 ASSESSED AS A CIVIL PENALTY. $45,000 PAID TO THE INVESTOR EDUCATION AND TECHNOLOGY FUND ADMINISTERED BY THE SECURITIES DEPARTMENT. OTHER SANCTIONS AS SET FORTH IN THE GLOBAL SETTLEMENT. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: NORTH DAKOTA SECURITIES DEPARTMENT Date initiated: 11/21/2003 Docket/ Case Number: Allegations: IN THIS REGULATORY ACTION, THE STATE OF NORTH DAKOTA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF NORTH DAKOTA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONSABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 11/21/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR NASD BrokerCheck October 14, 2005 Page 59 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCURMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF NORTH DAKOTA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMNPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON NOVEMBER 21, 2003 THE STATE OF NORTH DAKOTA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF NORTH DAKOTA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (48 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: STATE OF MISSOURI - OFFICE OF THE SECRETARY OF STATE - SECURITIES DIVISION Date initiated: 11/13/2003 Docket/ Case Number: NO. AO-03-22 Allegations: IN THIS REGULATORY ACTION, THE STATE OF MISSOURI ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF MISSOURI ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CETAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPSO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled NASD BrokerCheck October 14, 2005 Page 60 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 11/13/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,586,704.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) A SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF MISSOURI $2,586,704.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON NOVEMBER 13, 2003 THE STATE OF MISSOURI EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF MISSOURI AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (49 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: STATE OF MISSISSIPPI - OFFICE OF THE SECRETARY OF STATE - BUSINESS REGULATION AND ENFORCEMENT DIVISION Date initiated: 10/22/2003 Docket/ Case Number: NO. 02-11-06-S Allegations: IN THIS REGULATORY ACTION, THE STATE OF MISSISSIPPI ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF MISSISSIPPI ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FUTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO NASD BrokerCheck October 14, 2005 Page 61 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/22/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF MISSISSIPPI $1,500,000.00 AS A MONETARY PENALTY. SSB ASLSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BERTWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 22, 2003 THE STATE OF MISSISSIPPI EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF MISSISSIPPI AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (50 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: ARKANSAS SECURITIES DEPARTMENT Date initiated: 11/05/2003 Docket/ Case Number: S-03-016-03-C008 Allegations: IN THIS REGULATORY ACTION, THE STATE OF ARKANSAS ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. NASD BrokerCheck October 14, 2005 Page 62 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THOUGH 2001 AND (2) INITITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF ARKANSAS ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 11/05/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF ARKANSAS $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON NOVEMBER 5, 2003 THE STATE OF ARKANSAS EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF ARKANSAS AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (51 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 NASD BrokerCheck October 14, 2005 Page 63 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Initiated By: PACIFIC EXCHANGE, INC. Date initiated: 10/15/2003 Docket/ Case Number: OS0206051 Allegations: ALLEGED VIOLATION OF ARTICLE XI, SECTION 2(B) OF THE EXCHANGE CONSITITUTION IN THAT THE FIRM FAILED TO EXERCISE DUE DILIGENCE IN HANDLING A BUY ORDER. Current Status: Pending Summary: ****** REGULATORY ACTION (52 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/14/2003 Initiated By: MAINE OFFICE OF SECURITIES Date initiated: 05/30/2002 Docket/ Case Number: 03-108 Allegations: THE FIRM ENGAGED IN UNETHICAL AND DISHONEST CONDUCT BY FAILING TO ENSURE THAT ANALYSTS WHO ISSUED RESEARCH WERE ADEQUATELY INSULATED FROM PRESSURES AND INFLUENCES OF COVERED COMPANIES AND INVESTMENT BANKING. THE FIRM ALSO FAILED TO REASONABLY SUPERVISE ITS EMPLOYEES IN CONNECTION WITH THE ISSUANCE OF RESEARCH. RESEARCH PRACTICES ALSO VIOLATED RMSA’S ANTI-FRAUD PROVISIONS. THE FIRM ALSO ENGAGED IN ILLICIT IPO ALLOCATION PRACTICES. Current Status: Final Resolution: Order Resolution Date: 09/05/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Resolution Details: THE FIRM PAID THE $1,500,000.00 PENALTY ON 9/5/2003. Summary: THE FIRM WAS ORDERED TO CEASE AND DESIST FROM VIOLATING THE RMSA IN CONNECTION WITH CERTAIN CONFLICTS OF INTEREST TO WHICH ITS RESEARCH ANALYSTS WERE SUBJECT AND TO IMPLEMENT CERTAIN CHANGES WITH RESPECT TO ITS RESEARCH AND BANKING PRACTICES. THE CONSENT ORDER WAS EXECUTED AS PART OF A GLOBAL SETTLEMENT OF COORDINATED INVESTIGATIONS ENTERED INTO BY FEDERAL AND STATE REGULATORS, AND SEVERAL LARGE BROKER-DEALERS WHO ENGAGED IN THE RESEARCH PRACTICES AT ISSUE. THE FIRM WAS ALSO ORDERED TO CEASE AND DESIST FROM IMPROPER IPO ALLOCATION PRACTICES. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF MAINE - DEPT. OF PROFESSIONAL & FINANCIAL REGULATION, OFFICE OF SECURITIES Date initiated: 09/05/2003 Docket/ Case Number: 03-108 Allegations: IN THIS REGULATORY ACTION, THE STATE OF MAINE ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THOUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF MAINE ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, NASD BrokerCheck October 14, 2005 Page 64 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 09/05/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGEMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGEMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION AS DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF MAINE $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL FOR THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATION STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRMS' RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGEMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON SEPTEMBER 5, 2003 THE STATE OF MAINE EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS'S DOCUMENTS, SSB CONSENTED TO FINDING THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF MAINE AS SET FORTH IN #7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (53 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/10/2003 Initiated By: TEXAS Date initiated: 10/31/2003 Docket/ Case Number: SSB DKT NO 03-047;ORDER NO. CDO/FIN-1546 NASD BrokerCheck October 14, 2005 Page 65 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: SALOMON SMITH BARNEY (SSB) NOW KNOWN AS CITIGROUP GLOBAL MARKETS, INC. IS A BROKER-DEALER REGISTERED IN TEXAS AND WAS AT ALL RELEVANT TIMES, A REGISTERED BROKER-DEALER IN TEXAS. IN 1999, 2000 & 2001 (RELEVANT PERIOD), SSB ISSUED RESEARCH REPORTS ON TWO TELECOMMUNICATION COMPANIES THAT WERE FRAUDULENT & ISSUED RESEARCH REPORTS ON SEVERAL TELECOMMUNICATIONS COMPANIES THAT WERE MISLEADING. SSB FAILED TO MANAGE CONFLICTS CREATED BY CERTAIN PRACTICES. DURING THE RELEVANT PERIOD, SSB & GRUBMAN PUBLISHED FRAUDULENT RESEARCH REPORTS AS SET FORTH IN THE ORDER. Current Status: Final Resolution: Order Resolution Date: 10/31/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $9,639,939.00 Other Sanctions: CEASE & DESIST FROM VIOLATING THE TEXAS SECURITIES ACT & COMPLY WITH THE UNDERTAKING ATTACHED TO THE ORDER. Resolution Details: CITIGROUP GLOBAL MARKETS, INC. PAID $9,639,939 AS AN ADMINISTRATIVE FINE PURSUANT TO SECTION 23-1 OF THE TEXAS SECURITIES ACT. Summary: IT WAS ORDERED BY THE TEXAS SECURITIES COMMISSIONER THAT CITIGROUP GLOBAL MARKETS, INC. CEASE & DESIST FROM VIOLATING THE TEXAS SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER & WILL COMPLY WITH THE TEXAS SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER & COMPLY WITH THE UNDERTAKINGS OF ADDENDUM A OF THE ORDER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: TEXAS STATE SECURITIES BOARD Date initiated: 10/31/2003 Docket/ Case Number: ORDER NO. CDO/FIN-1546 Allegations: IN THIS REGULATORY ACTION, THE STATE OF TEXAS ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS, INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THORUGH 2000. THE STATE OF TEXAS ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/31/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $9,639,939.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO NASD BrokerCheck October 14, 2005 Page 66 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF TEXAS $9,639,939.00 AS MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTIONS WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 31, 2003 THE STATE OF TEXAS EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF TEXAS AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (54 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS - SECUIRITIES DIVISION Date initiated: 10/24/2003 Docket/ Case Number: FILE NO. S-03107 (EX) Allegations: IN THIS REGULATORY ACTION, THE STATE OF WISCONSIN ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF WISCONSIN ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESETMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THHAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled NASD BrokerCheck October 14, 2005 Page 67 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 10/24/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,479,663.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF WISCONSIN $2,479,663.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFOREMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 24, 2003 THE STATE OF WISCONSIN EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF WISCONSIN AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (55 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF TENNESSEE DEPARTMENT OF COMMERCE AND INSURANCE Date initiated: 10/28/2003 Docket/ Case Number: FILE NO. 03-009 Allegations: IN THIS REGULATORY ACTION, THE STATE OF TENNESSEE ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF TENNESSEE ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO NASD BrokerCheck October 14, 2005 Page 68 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/28/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $2,630,194.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF TENNESSEE $2,630,194.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 28, 2003 THE STATE OF TENNESSEE EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF TENNESSEE AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (56 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF NEVADA OFFICE OF THE SECRETARY OF STATE - SECURITIES DIVISION Date initiated: 10/14/2003 Docket/ Case Number: FILE NO. I03-261 Allegations: IN THIS REGULATORY ACTION, THE STATE OF NEVADA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES NASD BrokerCheck October 14, 2005 Page 69 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF NEVADA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PARCTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/14/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF NEVADA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 14, 2003 THE STATE OF NEVADA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF NEVADA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (57 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS - DIVISION OF SECURITIES NASD BrokerCheck October 14, 2005 Page 70 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 10/06/2003 Docket/ Case Number: N/A Allegations: IN THIS REGULATORY ACTION, THE STATE OF KENTUCKY ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF KENTUCKY ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICAIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORED. FINALY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCAION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/06/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,868,537.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 NMILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF KENTUCKY $1,868,537.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION THE THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 6, 2003 THE STATE OF KENTUCKY EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF KENTUCKY AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTION SET FORTH ABOVE IN #12. NASD BrokerCheck October 14, 2005 Page 71 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (58 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/12/2004 Initiated By: KANSAS SECURITIES COMMISSIONER Date initiated: 05/05/2003 Docket/ Case Number: 2003E050/2003-4743 Allegations: CITIGROUP GLOBAL MARKERS, INC./SALOMON SMITH BARNEY'S ACTIVITIES IN CONNECTION WITH CERTAIN CONFLICTS OF INTEREST THAT RESEARCH ANALYSTS WERE SUBJECT TO DURING THE PERIOD OF JULY 1, 1999, THROUGH JUNE 30, 2001. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 10/23/2003 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500,000.00 Resolution Details: CITIGROUP GLOBAL MARKETS, INC./SALOMON SMITH BARNEY, WILL CEASE AND DESIST FROM VIOLATION KSA 17-1254(M)(7) &(12) IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER, AND WILL COMPLY WITH THE UNDERTAKINGS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF KANSAS - OFFICE OF THE SECURITIES COMMISSIONER Date initiated: 10/23/2003 Docket/ Case Number: 2003E050 - K.S.C. NO. 2003-4743 Allegations: IN THIS REGULATORY ACTION, THE STATE OF KANSAS ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF KANSAS ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPRVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/23/2002 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS NASD BrokerCheck October 14, 2005 Page 72 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF KANSAS $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUCNED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 23, 2003 THE STATE OF KANSAS EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF KANSAS AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (59 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF MINNESOTA - DEPARTMENT OF COMMERCE Date initiated: 10/13/2003 Docket/ Case Number: FILE #SE2303094 Allegations: IN THIS REGULATORY ACTION, THE STATE OF MINNESOTA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF MINNESOTA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIRMENTS FOR COMMUNCIATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled NASD BrokerCheck October 14, 2005 Page 73 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 10/13/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,274,309.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDE UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF MINNESOTA $2,274,309.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 13, 2003 THE STATE OF MINNESOSTA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF MINNESOTA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (60 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF INDIANA OFFICE OF THE SECRETARY OF STATE - SECURITIES DIVISION Date initiated: 10/28/2003 Docket/ Case Number: CAUSE NO. 03-0068 CO Allegations: IN THIS REGULATORY ACTION, THE STATE OF INDIANA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF INDIANA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIRMEENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO NASD BrokerCheck October 14, 2005 Page 74 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) MAINTAIN POLICIES AND PROCEDUES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN AQDEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTRAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/28/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,811,050.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCURMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF INDIANA $2,811,050.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENT. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 28, 2003 THE STATE OF INDIANA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF INDIANA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (61 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF MASSACHUSETTS - OFFICE OF THE SECRETARY OF THE COMMONWEALTH - SECURITIES DIVISION Date initiated: 10/17/2003 Docket/ Case Number: 2003-46 Allegations: IN THIS REGULATORY ACTION, THE STATE OF MASSACHUSETTS ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC. NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. NASD BrokerCheck October 14, 2005 Page 75 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF MASSACHUSETTS ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGE THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/17/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,935,231.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF MASSACHUSETTS $2,935,231.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOURHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 17, 2003 THE STATE OF MASSACHUSETTS EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF MASSACHUSETTS AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (62 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 NASD BrokerCheck October 14, 2005 Page 76 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Initiated By: STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION Date initiated: 10/24/2003 Docket/ Case Number: OFR NO. 0047-S-6/03 Allegations: IN THIS REGULATORY ACTION, THE STATE OF FLORIDA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF FLORIDA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THERBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/24/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $7,388,763.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF FLORIDA $7,388,763.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETRWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 24, 2003 THE STATE OF FLORIDA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF FLORIDA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. NASD BrokerCheck October 14, 2005 Page 77 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (63 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF DELAWARE DEPARTMENT OF JUSTICE Date initiated: 10/22/2003 Docket/ Case Number: 03-6-3 Allegations: IN THIS REGULATORY ACTION, THE STATE OF DELAWARE ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF DELAWARE ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDUES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCAION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/22/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCURMENENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF DELAWARE $1,500,000.00 AS MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 8, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOT THE SOUTHERN NASD BrokerCheck October 14, 2005 Page 78 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 22, 2003 THE STATE OF DELAWARE EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF DELAWARE AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (64 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF ALASKA DEPARTMENT OF COMMUNITY AND ECONOMIC DEVELOPMENT - DIVISION OF BANKING, SECURITIES, AND CORPORATIONS Date initiated: 10/03/2003 Docket/ Case Number: 04-09 S Allegations: IN THIS REGULATORY ACCTION, THE STATE OF ALASKA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF ALASKA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESINGED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/03/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUDCATION ($25 MILLION) AS SPECIFIRED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF ALASKA $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS NASD BrokerCheck October 14, 2005 Page 79 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 3, 2003 THE STATE OF ALASKA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS'S DOCUMENTS, SSB CONSENTED TO FINDINGS THA SSB VIOLATED CERTAIN LAWS OF THE STATE OF ALASKA AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (65 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 10/21/2003 Docket/ Case Number: CO-2003-0032 Allegations: IN THIS REGULATORY ACTION, THE STATE OF ALABAMA ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS (IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF ALABAMA ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/21/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,050,924.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; AND MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION NASD BrokerCheck October 14, 2005 Page 80 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF ALABAMA $2,050,924.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTERET RESULTING FROM INTERACTIONS BETRWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ACCOUNCMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 21, 2003 THE STATE OF ALABAMA EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF ALABAMA A SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (66 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/04/2003 Initiated By: CONNECTICUT Date initiated: 10/28/2003 Docket/ Case Number: CO-2003-6802-S Allegations: ON OCTOBER 28, 2003, THE BANKING COMMISSIONER ENTERED A CONSENT ORDER WITH RESPECT TO CITIGROUP GLOBAL MARKETS INC. THE AGENCY INVESTIGATION CULMINATING IN THE ENTRY OF THE CONSENT ORDER FOCUSED ON THE FIRM’S RESEARCH PRACTICES FOR THE PERIOD 1999 THROUGH 2001, AND WAS PART OF SIMILAR INVESTIGATIONS CONDUCTED BY A MULTI-STATE TASK FORCE AND A JOINT TASK FORCE OF THE SEC, THE NEW YORK STOCK EXCHANGE AND THE NATIONAL ASSOCIATION OF SECURITIES DEALERS. THE GLOBAL RESOLUTION CAPPING THE INVESTIGATIONS RESULTED IN $150 MILLION ALLOCATED TO THE STATES; $150 MILLION REPRESENTING THE DISGORGEMENT OF COMMISSIONS AND FEES; $75 MILLION TO BE EARMARKED FOR THE PROCUREMENT OF INDEPENDENT RESEARCH BY THE RESPONDENT; AND $25 MILLION TO BE USED FOR INVESTOR EDUCATION. THE RESPONDENT ALSO AGREED TO ABIDE BY CERTAIN UNDERTAKINGS DESIGNED TO SEPARATE INVESTMENT BANKING AND RESEARCH FUNCTIONS. Current Status: Final Resolution: Order Resolution Date: 10/28/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $1,574,416.00 Resolution Details: THE CONSENT ORDER MANDATED THAT THE RESPONDENT CEASE AND DESIST FROM VIOLATING THE CONNECTICUT UNIFORM SECURITIES ACT AND ITS REGULATIONS AND FINED THE RESPONDENT $1,574,416. Summary: IN ENTERING THE CONSENT ORDER, THE COMMISSIONER FOUND THAT THE RESPONDENT HAD 1) VIOLATED SECTION 36B-4(A)(2) OF THE ACT BY ISSUING FALSE AND MISLEADING RESEARCH REPORTS; 2) VIOLATED SECTION 36B-4(B) OF THE ACT BY (A) PUBLISHING RESEARCH REPORTS THAT CONTAINED EXAGGERATED OR UNWARRANTED STATEMENTS OR CLAIMS, (B) FAILING TO MAINTAIN PROCEDURES DESIGNED TO PREVENT THE SHARING AND MISUSE OF MATERIAL, NON-PUBLIC INFORMATION BETWEEN AN AFFILIATED PERSON OF RESPONDENT WHO SERVED AS A NASD BrokerCheck October 14, 2005 Page 81 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) DIRECTOR OF ANOTHER COMPANY AND A RESEARCH ANALYST COVERING THAT COMPANY AND (C) ALLOCATING HOT IPO SHARES TO OFFICERS OF EXISTING INVESTMENT BANKING CLIENTS WHO SOLD THE SHARES FOR A SUBSTANTIAL PROFIT; 3) VIOLATED SECTION 36B-31-14A OF THE REGULATIONS UNDER THE ACT BY FAILING TO MAINTAIN ADEQUATE RECORDS TO ENSURE THAT ITS DISTRIBUTIONS OF IPO SHARES WERE COMPLETED BEFORE THE INITIATION OF SECONDARY MARKET TRADING; AND 4) VIOLATED SECTION 36B-31-6F(B) OF THE REGULATIONS BY FAILING TO SUPERVISE EMPLOYEES ENGAGED IN “SPINNING.” *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF CONNECTICUT DEPARTMENT OF BANKING Date initiated: 10/28/2003 Docket/ Case Number: CO-2003-6802-S Allegations: IN THIS REGULATORY ACTION, THE STATE OF CONNECTICUT ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF CONNECTICUT ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/28/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,574,416.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF CONNECTICUT $1,547,416.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDETAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPEATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED NASD BrokerCheck October 14, 2005 Page 82 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 28, 2003 THE STATE OF CONNECTICUT EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF CONNECTICUT AS SET FORTH IN #7 ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (67 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/18/2004 Initiated By: MICHIGAN Date initiated: 09/03/2003 Docket/ Case Number: 03-038-M Allegations: RESEARCH ANALYSTS WERE EXPECTED TO PROVIDE FAVORABLE COVERAGE OF SSB'S INVESTMENT BANKING CLIENTS. THIS CREATED A CULTURE IN WHICH INVESTMENT BANKERS COULD AND DID PRESSURE RESEARCH ANALYSTS TO MAINTAIN COVERAGE OR FAVORABLE RATINGS FOR INVESTMENT BANKING CLIENTS AND CREATED THE INCENTIVE FOR ANALYSTS TO USE RESEARCH TO OBTAIN, RETAIN, AND INCREASE REVENUE FROM INVESTMENT BANKING DEALS. THE FIRM FAILED TO MANAGE THE CONFLICTS CREATED BY ITS PRACTICES, PUBLISHED FRAUDULENT RESEARCH REPORTS, FAILED TO DISCLOSE MATERIAL FACTS, FAILED TO MAINTAIN REASONABLE POLICIES AND PROCEDURES, FAILED TO SUPERVISE IT'S RESEARCH AND INVESTMENT BANKING OPERATIONS. Current Status: Final Resolution: Order Resolution Date: 09/03/2003 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: COMPLY WITH FINAL JUDGMENT IN RELATED ACTION BY SEC. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF MICHIGAN - OFFICE OF FINANCIAL AND INSURANCE SERVICES, DEPT. OF CONSUMER AND INDUSTRY SERVICES Date initiated: 09/09/2003 Docket/ Case Number: 03-038-M Allegations: IN THIS REGULATORY ACTION, THE STATE OF MAINE ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF MICHIGAN ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS NASD BrokerCheck October 14, 2005 Page 83 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 09/09/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $4,594,611.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF MICHIGAN $4,594,611.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT OT EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON SEPTEMBER 9, 2003 THE STATE OF MICHIGAN EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF MICHIGAN AS SET FORTH IN #7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (68 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF IDAHO - DIRECTOR OF THE DEPARTMENT OF FINANCE Date initiated: 09/08/2003 Docket/ Case Number: 2003-7-30 Allegations: IN THIS REGULATORY ACTION, THE STATE OF IDAHO ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON NASD BrokerCheck October 14, 2005 Page 84 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING TH PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF IDAHO ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 09/08/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF IDAHO $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON SEPTEMBER 8, 2003 THE STATE OF IDAHO EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGLULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF IDAHO AS SET FORTH IN #7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (69 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 NASD BrokerCheck October 14, 2005 Page 85 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Initiated By: STATE OF HAWAII - BUSINESS REGISTRATION DIVISION, DEPT. OF COMMERCE AND CONSUMER AFFAIRS Date initiated: 09/19/2003 Docket/ Case Number: SEU2002-048 Allegations: IN THIS REGULATORY ACTION, THE STATE OF HAWAII ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF HAWAII ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURESS REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 09/19/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION DISGORGEMENT, $75 MILION FOR PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF HAWAII $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SEC. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON SEPTEMBER 19, 2003 THE STATE OF HAWAII EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS'S DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF HAWAII AS SET NASD BrokerCheck October 14, 2005 Page 86 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) FORTH IN #7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (70 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF RHODE ISLAND AND PROVIDENCE PLANTATIONS - DEPT. OF BUSINESS REGULATION, DIVISION OF SECURITIES Date initiated: 09/23/2003 Docket/ Case Number: Allegations: IN THIS REGULATORY ACTION, THE STATE OF RHODE ISLAND ALLEGED VIOLATINS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF RHODE ISLAND ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANLSYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS OND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITHTHE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVIISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 09/23/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $1,500,000.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION AS DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF RHODE ISLAND $1,500,000.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL FOR THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW NASD BrokerCheck October 14, 2005 Page 87 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON SEPTEMBER 23, 2003 THE STATE OF RHODE ISLAND EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF RHODE ISALAND AS SET FORTH IN #7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (71 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: NEW JERSEY BUREAU OF SECURITIES Date initiated: 10/02/2003 Docket/ Case Number: N/A Allegations: IN THIS REGULATORY ACTION, THE STATE OF NEW JERSEY ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS (IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF NEW JERSEY ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/02/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $3,890,011.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION AS DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF NEW JERSEY $3,890,011.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. NASD BrokerCheck October 14, 2005 Page 88 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL FOR THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECCTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003, AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON OCTOBER 2, 2003 THE STATE OF NEW JERSEY EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF NEW JERSEY AS SET FORTH IN #7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (72 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/06/2003 Initiated By: STATE OF WASHINGTON DEPT. OF FINANCIAL INSTITUTIONS - SECURITIES DIVISION Date initiated: 09/05/2003 Docket/ Case Number: S-03-094-03-C001 Allegations: IN THIS REGULATORY ACTION, THE STATE OF WASHINGTON ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE STATE OF WASHINGTON ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 09/05/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $2,724,892.00 Other Sanctions: UNDERTAKING; IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS, AND MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION) AS SPECIFIED IN THE FINAL JUDGEMENT ENTERED BY THE COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC. Resolution Details: SSB CONSENTED TO AN ORDER TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGEMENT ENTERED BY THE NASD BrokerCheck October 14, 2005 Page 89 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) COURT ON OCTOBER 31, 2003 IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES UP TO A TOTAL OF $150 MILLION TO THE STATES THAT ACCEPT SSB'S STATE SETTLEMENT OFFER, $150 MILLION AS DISGORGEMENT, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. SSB PAID THE STATE OF WASHINGTON $2,724,892.00 AS A MONETARY PENALTY. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL FOR THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE PURSUANT TO EXECUTIVE LAW SECT. 63(15) WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGEMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. ON SEPTEMBER 5, 2003 THE STATE OF WASHINGTON EXECUTED A CONSENT ORDER WITH SSB AS PART OF THE GLOBAL SETTLEMENT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN LAWS OF THE STATE OF WASHINGTON AS SET FORTH IN #7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN #12. ****** REGULATORY ACTION (73 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/09/2003 Initiated By: U.S. SECURITIES AND EXCHANGE COMMISSION Date initiated: 02/18/2002 Docket/ Case Number: ADMIN. PROCEEDING - FILE NO. 3-11192 Allegations: THE SEC ALLEGED THAT THE FIRM KNEW OR SHOULD HAVE KNOWN THAT ITS ACTS AND OMISSIONS WOULD CONTRIBUTE TO ENRON AND DYNEGY'S VIOLATIONS OF THE EXCHANGE ACT SECT. 10(B) AND EXCHANGE ACT RULE 10B-5, AND THAT THE FIRM THEREFORE WAS A CAUSE OF ENRON AND DYNEGY'S VIOLATIONS. Current Status: Final Resolution: Other Resolution Date: 07/28/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $57,500,000.00 Other Sanctions: PREJUDGMENT INTEREST Resolution Details: THE FIRM AGREED TO A MONETARY FINE TOTALING $57,500,000.00 ($48,500,000.00 WITH REGARD TO ENRON; $9,000,000.00 WITH REGARD TO DYNEGY); DISGORGEMENT; CEASE AND DESIST ORDER. FINES WERE PAID ON JULY 28, 2003 AND AUGUST 1, 2003. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ON 07/28/2003 THE FIRM AGREED TO A FINE IN THE AMOUNT OF $57,500,000.00, DISGORGEMENT AND A CEASE AND DESIST ORDER. ****** REGULATORY ACTION (74 of 263) ****** Reporting Source: Regulator (Form U-6) NASD BrokerCheck October 14, 2005 Page 90 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date Reported: 09/26/2003 Initiated By: NASD Date initiated: 09/16/2003 Docket/ Case Number: CMS030211 Allegations: NASD RULES 2110, 2320, 3320, 3340 & IM-2110-2, NASD MARKETPLACE RULES 4613(B), 6130(D), 6620 & 6620(A), AND SEC RULES 11AC1-1 & 11AC1-4 - THE MEMBER ("FIRM") EFFECTED TRANSACTIONS IN A NASDAQ NATIONAL MARKET SECURITY WHILE THE TRADING HALT WAS IN EFFECT. THE FIRM ALSO FAILED: (1) WITHIN 90 SECONDS AFTER EXECUTION, TO TRANSMIT THROUGH ACT LAST SALE REPORTS OF TRANSACTIONS ON OTC EQUITY SECURITIES, AND FAILED TO DESIGNATE THROUGH ACT SUCH LAST SALE REPORTS AS LATE; (2) IN TRANSACTIONS FOR OR WITH A CUSTOMER, TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS; (3) TO CONTEMPORANEOUSLY OR PARTIALLY EXECUTE CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET-MAKING ACCOUNT AT A PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER; (4) TO REPORT TO ACT THE CORRECT SYMBOL INDICATING WHETHER FIRM EXECUTED TRANSACTIONS IN ELIGIBLE SECURITIES IN A PRINCIPAL OR AGENCY CAPACITY; AND (5) TO DISPLAY IMMEDIATELY THE CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY; OR WHEN THE ORDER WAS PRICED EQUAL TO THE FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER IN SUCH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH ITS BID OR OFFER IN EACH SUCH SECURITY. THE FIRM ALSO INCORRECTLY REPORTED THROUGH ACT DUPLICATE LAST SALE REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIES. FURTHER, THE FIRM WAS A REGISTERED MARKET MAKER IN SECURITIES, AND AN ORDER WAS PRESENTED TO THE FIRM AT THE FIRM'S PUBLISHED BID OR PUBLISHED OFFER IN AN AMOUNT UP TO ITS PUBLISHED QUOTATION SIZE. THE FIRM FAILED TO EXECUTE THE ORDERS UPON PRESENTMENT AND THEREBY FAILED TO HONOR ITS PUBLISHED QUOTATION. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/16/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $72,500.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $72,500. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/09/2003 Initiated By: NASD - DEPT. OF MARKET REGULATION Date initiated: 09/15/2003 Docket/ Case Number: CMS030211 AWC Allegations: ALLEGED VIOLATIONS OF NASD CONDUCT RULES 2110, 2320, 3320 AND 3340; NASD MARKETPLACE RULES 4613(B),6130(D), 6620 AND 6620(A); EXCHANGE ACT RULE 11AC1-1; SEC RULE 11AC1-4. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/15/2003 Sanctions Ordered: Monetary/Fine, Censure NASD BrokerCheck October 14, 2005 Page 91 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $72,500.00 Resolution Details: THE FIRM CONSENTED TO CENSURE AND A TOTAL FINE OF $72,500.00, COMPOSED OF: $25,000.00 FINE FOR BEST EXECUTIONS VIOLATIONS; $20,000.00 FINE FOR FIRM QUOTATION VIOLATIONS; $10,000.00 FINE FOR TRADE REPORTING VIOLATIONS; $5,000.00 FINE FOR LIMIT ORDER DISPLAY VIOLATIONS; $5,000.00 FINE FOR LIMIT ORDER PROTECTION VIOLATIONS; $2,500.00 FINE FOR ACT REPORTING VIOLATIONS; $5,000.00 FINE FOR TRADING HALT VIOLATIONS. FINES PAID IN OCTOBER, 2003. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO CENSURE AND FINES TOTALING $72,500.00. ****** REGULATORY ACTION (75 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/12/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 08/08/2003 Docket/ Case Number: HPD# 03-182 Allegations: **08/08/2003** STIPULATION AND CONSENT TO SANCTION FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING CONSENTED TO FINDINGS: VIOLATED EXCHANGE RULE 342 IN THAT IT FAILED TO ADEQUATELY ENSURE THAT CERTAIN ACTIVITIES OF THE WORLDCOM BROKERS IN A BRANCH OF THE FIRM WERE REASONABLY SUPERVISED. CITIGROUP GLOBAL MARKETS INC. F/K/A SALOMON SMITH BARNEY INC. CONSENTED TO THE IMPOSITION BY THE EXCHANGE OF A SANCTION OF A CENSURE AND A FINE OF $1,000,000. Current Status: Final Resolution: Decision Resolution Date: 11/04/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000,000.00 Resolution Details: **10/01/2003** DECISION #03-182 ISSUED BY NYSE HEARING PANEL DECISION: VIOLATED EXCHANGE RULE 342 IN THAT IT FAILED TO ADEQUATELY ENSURE THAT CERTAIN ACTIVITIES WERE REASONABLY SUPERVISED. CONSENT TO SANCTION OF A CENSURE AND A FINE OF $1,000,000. Summary: **11/04/2003** THE DECISION IS NOW FINAL AND IS EFFECTIVE IMMEDIATELY. CONTACT: PEGGY GERMINO (212) 656-8450. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: NEW YORK STOCK EXCHANGE, INC. Date initiated: 08/08/2003 Docket/ Case Number: 03-183 Allegations: ALLEGED VIOLATIONS OF EXCHANGE RULE 342 IN THAT THE FIRM FAILED TO ADEQUATELY ENSURE THAT CERTAIN ACTIVITIES OF CERTAIN BROKERS IN A BRANCH OF THE FIRM WERE REASONABLY SUPERVISED. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 11/04/2003 Sanctions Ordered: Monetary/Fine, Censure NASD BrokerCheck October 14, 2005 Page 92 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $1,000,000.00 Resolution Details: THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE AMOUNT OF $1,000,000.00. Summary: FOR THE SOLE PURPOSE OF SETTLING A PROCEEDING WITH THE NYSE, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING ANY OF THE UNDERLYING FACTS OR MATTERS, THE FIRM CONSENTED TO A FINDING BY THE HEARING PANEL THAT IT VIOLATED EXCHANGE RULE 342 IN THAT THE FIRM FAILED TO ADEQUATELY ENSURE CERTAIN ACTIVITIES OF CERTAIN BROKERS IN A BRANCH OF THE FIRM WERE REASONABLY SUPERVISED. THE FIRM CONSENTED TO THE IMPOSITION OF A PENALTY OF CENSURE AND PAID A FINE IN THE AMOUNT OF $1,000,000.00 ON NOVEMBER 25, 2003. THE SETTLEMENT WAS APPROVED AND ENTERED BY A DECISION OF THE HEARING PANEL. ****** REGULATORY ACTION (76 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/05/2003 Initiated By: ATTORNEY GENERAL OF THE STATE OF NEW YORK - BUREAU OF INVESTMENT PROTECTION Date initiated: 04/28/2003 Docket/ Case Number: Allegations: ALLEGED VIOLATIONS OF CERTAIN STATE LAWS AND REGULATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. THE ATTORNEY GENERAL OF THE STATE OF NEW YORK ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 04/28/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $150,000,000.00 Other Sanctions: IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE REASERCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; AND MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION). Resolution Details: SSB CONSENTED TO THE IMPOSITION OF AN AGREEMENT TO CEASE AND DESIST FROM VIOLATING CERTAIN STATE LAWS AND REGULATIONS AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT TO WHICH SSB CONSENTED TO BE ENTERED IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES $150 MILLION AS A PENALTY THAT WILL BE ALLOCATED TO STATES THAT SETTLE WITH SSB, $150 MILLION AS DISGORGEMENT THAT WILL BE PLACED IN A DISTRIBUTION FUND AND DISTRIBUTED TO INVESTORS, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. EACH SETTLING STATE WILL RECEIVE A PAYMENT EQUAL TO $150 MILLION MULTIPLIED BY THE PERCENTAGE OF THE U.S. POPULATION RESIDENT IN THAT STATE. SSB ALSO CONSENTED TO NASD BrokerCheck October 14, 2005 Page 93 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. SSB ALSO AGREED TO PARTICIPATE IN A VOLUNTARY INITIATIVE PURSUANT TO WHICH IT WILL NO LONGER MAKE ALLOCATIONS OF HOT IPOS TO CORPORATE INSIDERS. Summary: ON APRIL 28, 2003, THE SEC, THE NASD, NYSE, THE ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS OF THE FIRMS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRMS' RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD, A STIPULATION AND CONSENT WITH THE NYSE, AN ASSURANCE OF DISCONTINUANCE WITH THE ATTORNEY GENERAL FOR THE STATE OF NEW YORK; AND A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT TO BE ENTERED BY THE COURT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN STATE LAWS AS SET FORTH IN 7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH IN 12. ****** REGULATORY ACTION (77 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/09/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 03/12/2003 Docket/ Case Number: HPD:# 03-62 Allegations: **3/12/03**STIPULATION EXECUTED SALOMON HAS CONSENTED TO A FINDING THAT THE FIRM VIOALTED THE EXCHANGE'S MARKET-ON-CLOSE ORDER ENTRY AND CANCELLATION PROCEDURES AND POLICY APPROVED BY THE SECURITIES AND EXCHANGE COMMISSION AND SET FORTH IN INFORMATION MEMORANDA 98-20 AND 99-51.0 Current Status: Final Resolution: Decision Resolution Date: 05/30/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $65,000.00 Resolution Details: **4/28/03**DECISION ISSUED HPD 03-62 ON MAY 2, 2003 DECISION:A HEARING PANEL FOUND THAT SALOMON SMITH BARNEY INC. VIOLATED THE EXCHANGE'S MARKET-ON-CLOSE ORDER ENTRY AND CALCELLATION PROCEDURES AND POLICY. THE PANEL IMPOSED THE PENALTY CONSENTED TO BY THE FIRM OF A CENSURE AND A $65,000 FINE. Summary: **5/30/03**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY. CONTACT:EVELYN PENA 212-656-5211 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/09/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 03/12/2003 Docket/ Case Number: HEARING PANEL DECISION 03-62 Allegations: ALLEGED VIOLATIONS OF THE EXCHANGE'S MARKET-ON-ORDER ENTRY AND CANCELLATION PROCEDURES AND POLICY NASD BrokerCheck October 14, 2005 Page 94 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Consent Resolution Date: 05/30/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $65,000.00 Resolution Details: CENSURE; FINE IN THE AMOUNT OF $65,000.00 - PAID ON JUNE 16, 2003. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND AND A FINE IN THE AMOUNT OF $65,000.00. ****** REGULATORY ACTION (78 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/29/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 04/21/2003 Docket/ Case Number: HPD#: 03-72 Allegations: **04/21/2003** STIPULATION AND CONSENT FILED BY THE NYSE DIVISION OF ENFORCEMENT AND PENDING. CONSENTED FINDINGS: (1) VIOLATED SECTIONS 15(C)(1) AND (2) OF THE EXCHANGE ACT AND RULE 15C1-2 THEREUNDER, AND EXCHANGE RULES 472, 476(A)(6), AND 401, BY ISSUING RESEARCH REPORTS ON FOCAL COMMUNICATIONS AND METROMEDIA FIBER AS IDENTIFIED ABOVE THAT CONTAINED MISSTATEMENTS AND OMISSIONS OF MATERIAL FACTS ABOUT THOSE COMPANIES, CONTAINED RECOMMENDATIONS CONTRARY TO THE ACTUAL VIEWS OF ITS ANALYSTS, OVERLOOKED OR MINIMIZED THE RISK OF INVESTING IN THOSE COMPANIES, AND PREDICTED SUBSTANTIAL GROWTH IN THOSE COMPANIES’ REVENUES AND EARNINGS WITHOUT A REASONABLE BASIS. (2) VIOLATED EXCHANGE RULE 476(A)(6) BY ENGAGING IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE BY: A. ENGAGING IN ACTS AND PRACTICES THAT CREATED OR MAINTAINED INAPPROPRIATE INFLUENCE BY THE INVESTMENT BANKING DEPARTMENT OVER RESEARCH ANALYSTS, THEREFORE IMPOSING CONFLICTS OF INTEREST ON ITS RESEARCH ANALYSTS, AND FAILING TO MANAGE THESE CONFLICTS IN AN ADEQUATE OR APPROPRIATE MANNER; B. ISSUING RESEARCH REPORTS ON FOCAL COMMUNICATIONS, RCN COMMUNICATIONS, LEVEL 3 COMMUNICATIONS, XO COMMUNICATIONS, ADELPHIA BUSINESS SOLUTIONS, AND WILLIAMS COMMUNICATIONS GROUP AS IDENTIFIED ABOVE THAT DID NOT PROVIDE A SOUND BASIS FOR EVALUATING FACTS REGARDING THOSE COMPANIES’ BUSINESS PROSPECTS, CONTAINED EXAGGERATED OR UNWARRANTED CLAIMS ABOUT THOSE COMPANIES, AND/OR CONTAINED OPINIONS FOR WHICH THERE WAS NO REASONABLE BASIS; AND C. PUBLISHING A RECOMMENDATION ON AT&T AS IDENTIFIED ABOVE THAT CONTAINED AN OMISSION OF MATERIAL FACT AND WAS MISLEADING; AND D. PROVIDING FAVORABLE AND PROFITABLE ALLOCATIONS OF HOT IPO SHARES TO OFFICERS OF EXISTING OR POTENTIAL INVESTMENT BANKING CLIENTS WHO WERE IN A POSITION TO DIRECT THEIR COMPANIES’ INVESTMENT BANKING BUSINESS TO THE FIRM. **CONTINUED IN #12C** Current Status: Final Resolution: Decision Resolution Date: 05/23/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $400,000,000.00 Resolution Details: **4/22/03**DECISION:VIOLATED SEA SECTIONS 15(C)(1) & (2), SEC RULE 15C1-2 AND EXCHANGE RULES 472, 476(A)(6) & 401 BY ISSUING CERTAIN RESEARCH REPORTS THAT CONTAINED MISSTATEMENTS & OMISSIONS OF MATERIAL FACTS CONTAINED RECOMMENDATIONS CONTRARY TO THE VIEWS OF ITS ANALYSTS & PREDICTED GROWTH IN REVENUE & EARNINGS WITHOUT A REASONABLE BASIS; VIOLATED EXCHANGE RULES 476(A)(6) & 401 BY ENGAGING IN ACTS & PRACTICES THAT CREATED OR MAINTAINED INAPPROPRIATE INFLUENCE BY THE INVESTMENT NASD BrokerCheck October 14, 2005 Page 95 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) BANKING DEPARTMENT OVER RESEARCH ANALYSTS THEREFORE IMPOSING CONFLICTS OF INTEREST ON ITS RESEARCH ANALYSTS, BY FAILING TO MANAGE THESE CONFLICTS IN AN ADEQUATE OR APPROPRIATE MANNER BY ISSUING CERTAIN RESEARCH REPORTS THAT DID NOT PROVIDE A SOUND BASIS FOR EVALUATING THE COMPANIES BUSINESS PROSPECTS THAT CONTAINED EXAGGERATED OR UNWARRANTED CLAIMS, &/OR THAT CONTAINED OPINIONS FOR WHICH THERE WAS NO REASONABLE BASIS BY PUBLISHING A RECOMMENDATION THAT CONTAINED AN OMISSION OF MATERIAL FACT AND WAS MISLEADING & BY PROVIDING FAVORABLE ALLOCATIONS OF HOT IPO SHARES TO OFFICERS OF INVESTMENT BANKING CLIENTS; VIOLATED EXCHANGE RULE 472 BY ISSUING CERTAIN RESEARCH REPORTS THAT DID NOT PROVIDE A SOUND BASIS FOR EVALUATING THE COMPANIES; BUSINESS PROSPECTS THAT CONTAINED EXAGGERATED OR UNWARRANTED CLAIMS AND/OR THAT CONTAINED OPINIONS FOR WHICH THERE WAS NO REASONABLE BASIS AND BY PUBLISHING A RECOMMENDATION THAT CONTAINED AN OMISSION OF MATERIAL FACT & WAS MISLEADING; VIOLATED SEA SECTION 17(A) & SEC RULE 17A-3 & EXCHANGE RULE 440 BY FAILING TO MAINTAIN ACCURATE BOOKS & RECORDS; VIOLATED SEA SECTION 15(F) BY FAILING TO MAINTAIN ADEQUATE PROCEDURES TO PREVENT THE MISUSE OF MATERIAL NON-PUBLIC INFORMATION & VIOLATED EXCHANGE RULE 342 BY FAILING TO ESTABLISH & MAINTAIN ADEQUATE POLICIES SYSTEMS & PROCEDURES FOR SUPERVISION & CONTROL OF ITS RESEARCH & INVESTMENT BANKING DEPARTMENTS ; CONSENT TO CENSURE, A TOTAL PAYMENT OF $400,000,000 AND AN UNDERTAKING. Summary: **05/23/2003** THE DECISION IS NOW FINAL AND IS EFFECTIVE IMMEDIATELY. CONTACT:EVELYN PENA 212-656-5211. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/05/2003 Initiated By: NEW YORK STOCK EXCHANGE, INC. Date initiated: 04/28/2003 Docket/ Case Number: Allegations: THE NEW YORK STOCK EXCHANGE ("NYSE") ALLEGED VIOLATIONS OF CERTAIN FEDERAL SECURITIES LAWS AND REGULATIONS AND CERTAIN NYSE RULES BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB"), ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS (IPOS") DURING THE PERIOD 1996 THROUGH 2000. NYSE ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/28/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $150,000,000.00 Other Sanctions: IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS, AND MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION). Resolution Details: SSB CONSENTED TO THE IMPOSITION OF NYSE CENSURE AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT ORDERED IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES $150 MILLION AS A PENALTY THAT WILL BE ALLOCATED TO STATES THAT SETTLE WITH SSB, $150 MILLION AS DISGORGEMENT THAT WILL BE PLACED IN A DISTRIBUTION FUND AND DISTRIBUTED TO INVESTORS, NASD BrokerCheck October 14, 2005 Page 96 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS; AND $25 MILLION FOR INVESTOR EDUCATION. EACH SETTLING STATE WILL RECEIVE A PAYMENT EQUAL TO $150 MILLION MULTIPLIED BY THE PERCENTAGE OF THE UNITED STATES POPULATION RESIDENT IN THAT STATE. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION IF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. SSB ALSO AGREED TO PARTICIPATE IN A VOLUNTARY INITIATIVE PURSUANT TO WHICH IT WILL NO LONGER MAKE ALLOCATIONS OF HOT IPOS TO CORPORATE INSIDERS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, THE ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS OF THE FIRMS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRMS' RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; AND A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT TO BE ENTERED BY THE COURT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN FEDERAL SECURITIES LAWS AND REGULATIONS AND NYSE RULES AS SET FORTH IN 7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH ABOVE IN 12. ****** REGULATORY ACTION (79 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/01/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/24/2003 Docket/ Case Number: C05030021 Allegations: NASD RULES 2110, 3010 AND IM 2110-1 - RESPONDENT MEMBER RETAINED PROFITS AGGREGATING APPROXIMATELY $125,000.00 BY FAILING TO REALLOCATE CERTAIN CANCELLED CUSTOMER PURCHASE ORDERS OF IPO SHARES, INSTEAD, CERTAIN BRANCH OFFICES OF THE FIRM, PLACED THE IPO SHARES FROM CANCELLED CUSTOMER PURCHASE ORDERS INTO BRANCH OFFICE ERROR ACCOUNTS, SOLD THE SHARES FROM THESE PROPRIETARY ACCOUNTS INTO THE SECONDARY MARKET AND REALIZED A PROFIT OR LOSS FROM SUCH SALES. THESE CANCELLATIONS TO, AND SALES IN, THE ERROR ACCOUNT, TOOK PLACE IN BRANCH OFFICES AS A RESULT OF THE FAILURE OF CERTAIN RETAIL BRANCHES TO FOLLOW THE FIRM'S SUPERVISORY PROCEDURES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/24/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $225,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SALOMON SMITH BARNEY, INC., CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $225,000.00, WHICH INCLUDES DISGORGEMENT OF PROFITS OF $125,000.00. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/05/2003 NASD BrokerCheck October 14, 2005 Page 97 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Initiated By: NASD REGULATION, INC. Date initiated: 04/24/2003 Docket/ Case Number: AWC C05030021 Allegations: ALLEGED VIOLATIONS BY THE FIRM OF NASD CONDUCT RULES 2110 AND 3010, AND IM-2110-1 (FREERIDING AND WITHHOLDING INTERPRETATION). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/24/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $225,000.00 Resolution Details: FINE IN THE AMOUNT OF $225,000.00 PAID ON MAY 6, 2003. Summary: ON APRIL 24, 2003, THE NASD ACCEPTED AND ISSUED AN AWC ALLEGING VIOLATIONS BY THE FIRM OF NASD CONDUCT RULES 2110 AND 3010, AND IM-2110-1 (FREERIDING AND WITHHOLDING INTERPRETATION). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A FINE OF $225,000.00. ****** REGULATORY ACTION (80 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/28/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/24/2003 Docket/ Case Number: CAF030018 Allegations: SECURITIES EXCHANGE ACT SECTION 15(C), RULE 15C1-2 THEREUNDER, SECTION 15(C)(1), OF THE EXCHANGE ACT, RULE 15C-1 THEREUNDER, SECTION 15(C)(2) OF EXCHANGE ACT, SECTION 15(F) OF THE EXCHANGE ACT AND EXCHANGE ACT 17(A)(1) AND RULE 17A-3 THEREUNDER, NASD CONDUCT RULES 2110, 2210(D)(1), 2210(D)(2), 3010, AND 3110 - RESPONDENT MEMBER ISSUED REPORTS ON COMPANYS THAT CONTAINED MISSTATEMENTS AND OMISSIONS OF MATERIAL FACTS, CONTAINED RECOMMENDATIONS THAT WERE CONTRARY TO THE ACTUAL VIEWS OF ITS ANALYSTS, OVERLOOKED OR MINIMIZED THE RISK OF INVESTING IN THESE COMPANIES AND PREDICTED SUBSTANTIAL GROWTH IN THE COMPANIES REVENUES AND EARNINGS WITHOUT A REASONABLE BASIS; ISSUED RESEARCH REPORTS FOR COMPANIES THAT WERE NOT BASED ON PRINCIPLES OF FAIR DEALING AND GOOD FAITH AND DID NOT PROVIDE A SOUND BASIS FOR EVALUATING FACTS REGARDING THESE COMPANIES? BUSINESS PROSPECTS, CONTAINED EXAGGERATED OR UNWARRANTED CLAIMS, AND/OR CONTAINED OPINIONS FOR WHICH THERE WAS NO REASONABLE BASIS; BUSINESS PRACTICES CREATED AND/OR MAINTAINED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKING OVER RESEARCH ANALYST, THEREBY IMPOSING CONFLICTS OF INTEREST ON FIRMS RESEARCH ANALYSTS; FAILED TO MANAGE CONFLICTS IN AN ADEQUATE OR APPROPRIATE MANNER; DID NOT MAINTAIN WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE SHARING AND MISUSE OF MATERIAL, NON-PUBLIC INFORMATION BETWEEN AN AFFILIATED PERSON OF THE FIRM WHO SERVED AS A DIRECTOR OF ANOTHER COMPANY AND FIRM RESEARCH ANALYST COVERING THAT COMPANY; PROVIDED FAVORABLE AND PROFITABLE ALLOCATIONS OF HOT IPO SHARES TO OFFICERS OF EXISTING OR POTENTIAL INVESTMENT BANKING CLIENTS WHO WERE IN A POSITION TO DIRECT THEIR COMPANIES INVESTMENT BANKING BUSINESS TO RESPONDENT MEMBER. THE OFFICERS SOLD THE SHARES PROVIDED TO THEM FOR SUBSTANTIAL PROFIT. SUBSEQUENTLY, THE COMPANIES FOR WHICH THE OFFICERS WORKED PROVIDED RESPONDENT MEMBER WITH INVESTMENT BANKING BUSINESS. ALLOWED ITS EMPLOYEES TO ENGAGE IN ?AS OF? TRADING AND - CONT. ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/24/2003 NASD BrokerCheck October 14, 2005 Page 98 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $150,000,000.00 Other Sanctions: $75,000,000, TO BE USED FOR THE PROCUREMENT OF INDEPENDENT RESEARCH; AND $25,000,000, TO BE USED FOR INVESTOR EDUCATION Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT MEMBER CONSENTED TO THE FINDING OF THE ALLEGATIONS AND TO THE FOLLOWING SANCTIONS: CENSURED AND FINED $150,000,000, AS SPECIFIED IN THE FINAL JUDGMENT ORDERED IN A RELATED ACTION FILED BY THE SECURITIES AND EXCHANGE COMMISSION. $150,000,000, IN DISGOREGEMENT OF COMMISSIONS, FEES, AND OTHER MONIES; $75,000,000, TO BE USED FOR THE PROCUREMENT OF INDEPENDENT RESEARCH; AND $25,000,000, TO BE USED FOR INVESTOR EDUCATION, AS DESCIRBED IN THE FINAL JUDGMENT. THE MONETARY SANCTIONS IMPOSED BY NASD SHALL BE REDUCED BY THE AMOUNTS PAID BY RESPONDENT PURSUANT TO THE FINAL JUDGMENT. Summary: OTHERWISE FAILED TO MAINTAIN ACCURATE BOOKS AND RECORDS TO ENSURE THAT ITS DISTRIBUTIONS OF IPO SHARES WERE COMPLETED PRIOR TO THE INITIATION OF SECONDARY MARKET TRADING; FAILED TO ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES TO PROTECT RESEARCH ANALYSTS FROM CONFLICTS OF INTEREST FROM ITS INVESTMENT BANKING OPERATION. FAILED ADEQUATELY TO SUPERVISE THE ACTIVITES OF ITS RESEARCH ANALYSTS; FAILED TO RESPOND TO INDICATIONS THAT THE FIRMS RESEARCH WAS MISLEADING AND REPORTS COMPLIED WITH FEDERAL LAWS AND REGULATIONS AND NASD AND NYSE RULES. FAILED ADEQUATELY TO SUPERVISE THE EMPLOYEES ENGAGED IN SPINNING AND, FAILED TO ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES TO ENSURE THE PROPER ADMINISTRATION OF ISSUER DIRECTED SHARE PROGRAMS. RESPONDENT AGREES THAT IT SHALL NOT SEEK OR ACCEPT, DIRECTLY OR INDIRECTLY, REIMBURSEMENT OR INDEMNIFICATION, INCLUDING BUT NOT LIMITED TO PAYMENT MADE PURSUANT TO ANY INSURANCE POLICY, WITH REGARD TO ANY FINE/PENALTY AMOUNTS THAT RESPONDENT SHALL PAY PURSUANT TO SECTION II OF THE FINAL JUDGMENT, REGARDLESS OF WHETHER SUCH FINE/PENALTY AMOUNTS OR ANY PART THEREOF ARE ADDED TO THE DISTRIBUTION FUND ACCOUNT OR OTHERWISE USED FOR THE BENEFIT OF INVESTORS. RESPONDENT FURTHER AGREES THAT IT SHALL NOT CLAIM, ASSERT, OR APPLY FOR A TAX DEDUCTION OR TAX CREDIT WITH REGARD TO ANY FEDERAL, STATE, OR LOCAL TAX FOR ANY FINE/PENALTY AMOUNTS THAT RESPONDENT SHALL PAY PURSUANT TO SECTION II OF FINAL JUDGMENT, REGARDLESS OF WHETHER SUCH FINE/PENALTY AMOUNTS OR ANY PART THEREOF ARE ADDED TO THE DISTRIBUTION FUND ACCOUNT OR OTHERWISE USED FOR THE BENEFIT OF INVESTORS. RESPONDENT UNDERSTANDS AND ACKNOWLEDGES THAT THESE PROVISIONS ARE NOT INTENDED TO IMPLY THAT NASD WOULD AGREE THAT ANY OTHER AMOUNTS RESPONDENT SHALL PAY PURSUANT TO THE FINAL JUDGEMENT MAY BE REIMBURSED OR INDEMNIFIED (WHETHER PURSUANT TO AN INSURANCE POLICY OR OTHERWISE) UNDER APPLICABLE LAW OR MAY BE THE BASIS FOR ANY TAX DEDUCTION OR TAX CREDIT WITH REGARD TO ANY FEDERAL, STATE, OR LOCAL TAX. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2004 Initiated By: NASD REGULATION, INC. Date initiated: 04/28/2003 Docket/ Case Number: CAF030018 Allegations: THE NASD ALLEGED VIOLATIONS OF FEDERAL SECURITIES LAWS AND REGULATIONS AND CERTAIN NASD RULES BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB") ARISING OUT OF CERTAIN OF ITS BUSINESS PRACTICES CONCERNING (1) RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS") DURING THE PERIOD 1996 THROUGH 2000. NASD ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKERS OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST ON THEM. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATIONS WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE NASD BrokerCheck October 14, 2005 Page 99 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/28/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $150,000,000.00 Other Sanctions: IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; AND MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION). Resolution Details: SSB CONSENTED TO THE IMPOSITION OF NASD CENSURE AND A TOTAL PAYMENT OF $400 MILLION, AS SPECIFIED IN THE FINAL JUDGMENT TO WHICH SSB CONSENTED TO BE ENTERED IN A RELATED ACTION FILED BY THE SEC, WHICH INCLUDES $150 MILLION AS DISGORGEMENT THAT WILL BE PLACED IN A DISTRIBUTION FUND AND DISTRIBUTED TO INVESTORS, $75 MILLION FOR THE PROCUREMENT OF INDEPENDENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION. EACH SETTLING STATE WILL RECEIVE A PAYMENT EQUAL TO $150 MILLION MULTIPLIED BY THE PERCENTAGE OF THE U.S. POPULATION RESIDENT IN THAT STATE. SSB ALSO CONSENTED TO UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION IF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. SSB ALSO AGREED TO PARTICIPATE IN A VOLUNTARY INITIATIVE PURSUANT TO WHICH IT WILL NO LONGER MAKE ALLOCATIONS OF HOP IPOS TO CORPORATE INSIDERS. Summary: ON APRIL 28, 2003, THE SEC, THE NASD, NYSE, THE ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATION OF THE FIRMS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN THE FIRMS' RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH THE NASD; A STIPULATION AND CONSENT WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; AND A CONSENT IN CONNECTION WITH A COMPLAINT FILED BY THE SEC IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT TO BE ENTERED BY THE COURT. SOLELY FOR THE PURPOSE OF SETTLING EACH PROCEEDING, PRIOR TO HEARING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING THE FACTS OR CONCLUSIONS ALLEGED IN THE RESPECTIVE REGULATORS' DOCUMENTS, SSB CONSENTED TO FINDINGS THAT SSB VIOLATED CERTAIN FEDERAL SECURITIES LAWS AND REGULATIONS AND NASD RULES AS SET FORTH IN 7, ABOVE, AND AGREED TO THE SANCTIONS SET FORTH IN 12. ****** REGULATORY ACTION (81 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/22/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/16/2003 Docket/ Case Number: CAF030016 Allegations: MSRB RULES G-12, G-14, G-27 - RESPONDENT MEMBER FAILED TO PROVIDE ACCURATE AND TIMELY INFORMATION REGARDING MUNICIPAL SECURITIES TRADES TO THE NATIONAL SECURITIES CLEARING CORPORATION; AND FAILED TO ADOPT, MAINTAIN, AND ENFORCE WRITTEN PROCEDURES REGARDING THE PROCESSING OF TRADES EXECUTED THROUGH UNAFFILIATED MONEY MANAGERS FOR FIRM CLIENTS AND THE SUPERVISION BY A PRINCIPAL OF THE FIRM'S PROCESSING OF SUCH TRADES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) NASD BrokerCheck October 14, 2005 Page 100 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 04/16/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $8,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CITIGROUP GLOBAL CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED AND FINED $8,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/05/2003 Initiated By: NASD REGULATION, INC. Date initiated: 04/16/2003 Docket/ Case Number: AWC CAF030016 Allegations: ALLEGED VIOLATIONS BY THE FIRM OF MSRB RULES G-12, G-14, AND G-27 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/16/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $8,000.00 Resolution Details: FINE IN THE AMOUNT OF $8,000.00 PAID ON MAY 7, 2003 Summary: ON APRIL 16, 2003 THE NASD ACCEPTED AND ISSUED AN AWC ALLEGING VIOLATIONS BY THE FIRM OF MSRB RULES G-12, G-14, AND G-27. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A FINE OF $8,000.00. ****** REGULATORY ACTION (82 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/21/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 11/26/2002 Docket/ Case Number: HPD#: 03-9 Allegations: **11/26/2002**STIPULATED FINDINGS: 1. VIOLATED SECURITIES AND EXCHANGE COMMISSION RULES 17A-3 AND 17A-4, EXCHANGE RULE 440 AND EXCHANGE RULE 410 IN THAT IT PREPARED AND MAINTAINED BOOKS AND RECORDS FOR ORDERS THAT DID NOT ACCURATELY REFLECT THE TERMS OF ORDERS.2. VIOLATED EXCHANGE RULE 342, IN THAT IT FAILED TO PROVIDE AND MAINTAIN APPROPRIATE PROCEDURES FOR THE SUPERVISION OF ITS ORDER ENTRY SYSTEM EDTS AND ITS BLOCK TRADING DESK INCLUDING A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW TO ENSURE COMPLIANCE WITH RELEVANT EXCHANGE RULES AND FEDERAL SECURITIES LAWS. STIPULATED PENALTY:A CENSURE AND A $90,000 FINE. Current Status: Final Resolution: Decision Resolution Date: 03/13/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $90,000.00 NASD BrokerCheck October 14, 2005 Page 101 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: **2/6/03**DECISION 03-9 ISSUED BY NYSE HEARING PANEL DECISION:VIOLATED SEC RULES 17A-3 AND 17A-4 AND EXCHANGE RULES 440 AND 410 BY PREPARING AND MAINTAINING BOOKS AND RECORDS FOR ORDERS THAT DID NOT ACCURATELY REFLECT THE TERMS OF THE ORDERS; VIOLATED EXCHANGE RULE 342 BY FAILING TO MAINTAIN APPROPRIATE PROCEDURES FOR THE SUPERVISION OF ITS ORDER ENTRY SYSTEM AND ITS BLOCK TRADING DESK. CONSENT TO CENSURE AND A $90,000 FINE. Summary: **3/13/2003**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY. CONTACT:PEGGY GERMINO 212-656-8450 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/03/2003 Initiated By: NEW YORK STOCK EXCHANGE, INC. Date initiated: 03/13/2003 Docket/ Case Number: EXCHANGE HEARING PANEL DECISION 03-9 Allegations: ALLEGED VIOLATIONS OF SEC RULES 17A-3 AND 17A-4 (BOOKS AND RECORDS) AND EXCHANGE RULES 440 (BOOKS AND RECORDS), 410 (RECORDS OF ORDERS) AND 342 (SUPERVISION) IN CONNECTION WITH CERTAIN ENTRIES MADE ON THE FIRM'S BOOKS AND RECORDS ON SEPTEMBER 10, 1999. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 03/13/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $90,000.00 Resolution Details: THE FIRM AGREED TO A CENSURE AND A $90,000.00 FINE. THE FINE WAS PAID ON APRIL 1, 2003. Summary: THE FIRM ENTERED INTO A STIPULATION AND CONSENT TO PENALTY WITH THE NYSE UNDER WHICH, WITHOUT ADMITTING OR DENYING GUILT, THE FIRM AGREED TO A CENSURE AND A $90,000.00 FINE FOR VIOLATIONS OF SEC RULES 17A-3 AND 17A-4 (BOOKS AND RECORDS) AND EXCHANGE RULES 440 (BOOKS AND RECORDS), 410 (RECORDS OF ORDERS), AND 342 (SUPERVISION) IN CONNECTION WITH CERTAIN ENTRIES MADE ON THE FIRM'S BOOKS AND RECORDS ON SEPTEMBER 10, 1999. ****** REGULATORY ACTION (83 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/05/2002 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 12/03/2002 Docket/ Case Number: FILE NO. 3-10957 Allegations: SEC ADMINISTRATIVE PROCEEDING RELEASE 34-46937, DECEMBER 3, 2002; THIS ACTION CONCERNS RESPONDENTS' VIOLATIONS OF THE RECORD-KEEPING REQUIREMENTS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER DURING THE PERIOD FROM 1999 TO AT LEAST 2001 (THE "RELEVANT PERIOD"). DURING ALL OR PART OF THE RELEVANT PERIOD, RESPONDENT FAILED TO PRESERVE FOR THREE YEARS, AND/OR TO PRESERVE IN AN ACCESSIBLE PLACE FOR TWO YEARS, ELECTRONIC MAIL COMMUNICATIONS (INCLUDING INTER-OFFICE MEMORANDA AND COMMUNICATIONS) RECEIVED AND SENT BY ITS AGENTS AND EMPLOYEES THAT RELATED TO ITS BUSINESS AS A MEMBER OF AN EXCHANGE, BROKER OR DEALER. RESPONDENT LACKED ADEQUATE SYSTEMS OR PROCEDURES FOR THE PRESERVATION OF ELECTRONIC MAIL COMMUNICATIONS. Current Status: Final NASD BrokerCheck October 14, 2005 Page 102 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution: Order Resolution Date: 12/03/2002 Sanctions Ordered: Monetary/Fine, Censure, Cease and Desist/Injunction Monetary Amount: $1,650,000.00 Other Sanctions: UNDERTAKING: TO REVIEW ITS PROCEDURES REGARDING THE PRESERVATION OF ELECTRONIC MAIL COMMUNICATIONS FOR COMPLIANCE WITH THE FEDERAL SECURITIES LAWS AND REGULATION, AND THE RULES OF NASD AND NEW YORK STOCK EXCHANGE. Resolution Details: RESPONDENT PURSUANT TO SECTION 21C OF THE EXCHANGE ACT, CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 PROMULGATED THEREUNDER, CENSURED PURSUANT TO SECTION 15(B)(4) OF THE EXCHANGE ACT, AND SHALL, WITHIN TEN DAYS OF THE ENTRY OF THIS ORDER, PAY THE AMOUNT OF $1,650,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/09/2003 Initiated By: U.S. SECURITIES AND EXCHANGE COMMISSION Date initiated: 12/03/2002 Docket/ Case Number: FILE NO. 3-10957 Allegations: ALLEGED VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER Current Status: Final Resolution: Settled Resolution Date: 12/03/2002 Sanctions Ordered: Monetary/Fine, Censure, Cease and Desist/Injunction Monetary Amount: $550,000.00 Other Sanctions: UNDERTAKING Resolution Details: CENSURE; FINE IN THE AMOUNT OF $550,000 - PAID IN NOVEMBER, 2002; CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATION AND ANY FUTURE VIOLATIONS OF SECT. 17(A) OF THE EXCHANGE ACT AND RULE 17(A)-4 THEREUNDER; UNDERTAKING TO REVIEW PROCEDURES FOR COMPLIANCE WITH RELEVANT STATUTES FOR RULES RELATING TO E-MAIL RETENTION. Summary: THE FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO FINDINGS THAT IT VIOLATED THE STATUTES AND RULES NOTE IN ITEM #7 ABOVE. THE FIRM AGREED TO A FINE IN THE AMOUNT OF $550,000.00, A CEASE AND DESIST ORDER, A CENSURE AND AN UNDERTAKING. ****** REGULATORY ACTION (84 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/02/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/22/2002 Docket/ Case Number: CAF020064 Allegations: SECTION 17(A) OF THE EXCHANGE ACT, RULE 17A-4 THEREUNDER, NASD RULES 3010 AND 3110 ? WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE ENTRY OF FINDINGS THAT IT FAILED TO KEEP ELECTRONIC MAIL COMMUNICATIONS FOR THREE YEARS AND/OR FAILED TO PRESERVE ELECTRONIC MAIL NASD BrokerCheck October 14, 2005 Page 103 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) COMMUNICATIONS FOR THE FIRST TWO YEARS IN AN ACCESSIBLE PLACE; AND, HAD INADEQUATE SUPERVISORY SYSTEMS AND PROCEDURES THAT WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH SECTION 17(A) OF THE EXCHANGE ACT, RULE 17A-4 THEREUNDER AND NASD RULE 3110 REGARDING PRESERVATION OF BOOKS AND RECORDS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/22/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,650,000.00 Other Sanctions: UNDERTAKING Resolution Details: CENSURED, FINED $1,650,000 WHICH SHALL BE REDUCED BY AMOUNTS PAID PURSUANT TO AGREEMENTS TO PAY A CIVIL MONETARY PENALTY OF $550,000 TO THE U.S. TREASURY AND A FINE OF $550,000 TO THE NYSE IN RELATED PROCEEDINGS. PAYMENTS TO NASD SHALL BE MADE WITHIN 10 DAYS OF NOTICE OF ACCEPTANCE OF THIS AWC AND AN UNDERTAKING TO REVIEW ITS PROCEDURES REGARDING THE PRESERVATION OF ELECTRONIC MAIL COMMUNICATIONS FOR COMPLIANCE WITH FEDERAL SECURITIES LAWS AND THE RULES OF NASD AND THE EXCHANGE. WITHIN 90 DAYS OF ISSUANCE OF THIS ORDER, UNLESS OTHERWISE EXTENDED BY NASD FOR GOOD CAUSE SHOWN, RESPONDENT UNDERTAKES AND AGREES TO INFORM NASD IN WRITING THAT IT HAS COMPLETED ITS REVIEW AND THAT IT HAS ESTABLISHED SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THOSE LAWS, REGULATIONS, AND RULES CONCERNING THE PRESERVATION OF ELECTRONIC MAIL COMMUNICATIONS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/09/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/22/2002 Docket/ Case Number: AWC NO. CAF020064 Allegations: ALLEGED VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER, AND NASD RULES 3010 AND 3110 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/22/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $550,000.00 Other Sanctions: UNDERTAKING Resolution Details: CENSURE; FINE IN THE AMOUNT OF $550,000.00 - PAID IN NOVEMBER, 2002; UNDERTAKING TO REVIEW PROCEDURES FOR COMPLIANCE WITH RELEVANT STATUTES AND RULES RELATING TO E-MAIL RETENTION. Summary: THE FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO FINDINGS THAT IT VIOLATED THE STATUTES AND RULES NOTED IN ITEM #7 ABOVE. THE FIRM AGREED TO A CENSURE, A FINE IN THE AMOUNT OF $550,000.00 AND AN UNDERTAKING. ****** REGULATORY ACTION (85 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/02/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 11/12/2002 NASD BrokerCheck October 14, 2005 Page 104 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Docket/ Case Number: HPD#: 02-226 Allegations: **11/12/2002**CONSENTED FINDINGS:(1)VIOLATED EXCHANGE RULE 440 AND SECTION 17(A) OF THE SECURITIES AND EXCHANGE ACT OF 1934 AND SEC REGULATION 17A-4 BY FAILING TO PRESERVE FOR A PERIOD OF THREE YEARS, AND/OR PRESERVE IN AN ACCESSIBLE PLACE FOR TWO YEARS, ELECTRONIC COMMUNICATIONS RELATING TO THE BUSINESS OF THE FIRM.(2)VIOLATED EXCHANGE RULES 342 IN THAT IT FAILED TO REASONABLY SUPERVISE AND CONTROL THE ACTIVITIES OF ITS EMPLOYEES, INCLUDING A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW TO ASSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS RELATING TO RETENTION OF ELECTRONIC COMMUNICATIONS. STIPULATED SANCTION: THE IMPOSITION BY THE EXCHANGE OF A CENSURE AND A FINE IN THE AMOUNT OF $1,650,000, FOR TOTAL FINES OF $8,250,000 FROM ALL RESPONDENTS. THE AMOUNT TO BE PAID TO THE NYSE BY EACH RESPONDENT SHALL BE REDUCED BY AMOUNTS PAID BY EACH RESPONDENT PURSUANT TO AGREEMENTS TO PAY A CIVIL MONETARY PENALTY OF $550,000 TO THE U.S. TREASURY AND A FINE OF $550,000 TO NASD IN RELATED PROCEEDINGS. IN ADDITION TO THE MONETARY FINE, RESPONDENTS SHALL COMPLETE AN APPROPRIATE UNDERTAKING TO REVIEW ITS PROCEDURES REGARDING THE PRESERVATION OF ELECTRONIC MAIL COMMUNICATIONS FOR COMPLIANCE WITH THE FEDERAL SECURITIES LAWS AND REGULATIONS AND THE RULES OF THE EXCHANGE AND NASD. WITHIN 90 DAYS OF THE EXECUTION OF THE STIPULATION AND CONSENT EACH RESPONDENT UNDERTAKES AND AGREES TO INFORM THE EXCHANGE IN WRITING THAT IT HAS COMPLETED ITS REVIEW AND THAT IT HAS SYSTEMS AND PROCEDURES IN PLACE REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH THOSE LAWS AND RULES CONCERNING THE PRESERVATION OF ELECTRONIC MAIL COMMUNICATIONS. ENFORCEMENT SHALL HAVE THE DISCRETION, UPON A SHOWING OF GOOD CAUSE, TO EXTEND THE DEADLINE FOR COMPLIANCE WITH THE UNDERTAKING SET FORTH IN THIS PARAGRAPH. Current Status: Final Resolution: Decision Resolution Date: 12/13/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,650,000.00 Other Sanctions: CONSENT TO CENSURE, $1,650,000 FINE (REDUCED BY AMOUNTS PAID PURSUANT TO AGREEMENTS TO PAY A CIVIL PENALTY OF $550,000 TO THE U.S. TREASURY AND A FINE OF $550,000 TO THE NASD) AND AN UNDERTAKING. Resolution Details: **12/15/2002**HPD#: 02-226 VIOLATED RULE 440 AND SEA 17(A) AND SEC REG. 17A-4 BY FAILING TO PRESERVE FOR A PERIOD OF THREE YEARS, AND/OR PRESERVE IN AN ACCESSIBLE PLACE FOR TWO YEARS, ELECTRONIC COMMUNICATIONS RELATING TO THE BUSINESS OF THE FIRM AND VIOLATED EXCHANGE RULES 342 BY FAILING TO REASONABLY SUPERVISE AND CONTROL THE ACTIVITIES OF ITS EMPLOYEES TO ASSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS RELATING TO RETENTION OF ELECTRONIC COMMUNICATIONS. - CONSENT TO CENSURE, $1,650,000 FINE (REDUCED BY AMOUNTS PAID PURSUANT TO AGREEMENTS TO PAY A CIVIL PENALTY OF $550,000 TO THE U.S. TREASURY AND A FINE OF $550,000 TO THE NASD) AND AN UNDERTAKING TO REVIEW ITS PROCEDURES REGARDING THE PRESERVATION OF ELECTRONIC MAIL COMMUNICATIONS FOR COMPLIANCE WITH THE FEDERAL SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE AND NASD. WITHIN 90 DAYS OF THE EXECUTION OF THE STIPULATION AND CONSENT EACH RESPONDENT UNDERTAKES AND AGREES TO INFORM THE EXCHANGE IN WRITING THAT IT HAS COMPLETED ITS REVIEW AND THAT IT HAS SYSTEMS AND PROCEDURES IN PLACE REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH THOSE LAWS AND RULES CONCERNING THE PRESERVATION OF ELECTRONIC MAIL COMMUNICATIONS. ENFORCEMENT SHALL HAVE THE DISCRETION, UPON A SHOWING OF GOOD CAUSE, TO EXTEND THE DEADLINE FOR COMPLIANCE WITH THE UNDERTAKING SET FORTH IN THIS PARAGRAPH. Summary: **12/13/2002**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY. CONTACT:PEGGY GERMINO 212-656-8450 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/09/2003 Initiated By: NEW YORK STOCK EXCHANGE, INC. NASD BrokerCheck October 14, 2005 Page 105 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 11/12/2002 Docket/ Case Number: HEARING PANEL DECISION 02-226 Allegations: ALLEGED VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER, AND NYSE RULES 440 AND 342 Current Status: Final Resolution: Settled Resolution Date: 11/12/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $550,000.00 Other Sanctions: UNDERTAKING Resolution Details: CENSURE; FINE IN THE AMOUNT OF $550,000.00 - PAID IN NOVEMBER, 2002; UNDERTAKING TO REVIEW PROCEDURES FOR COMPLIANCE WITH RELEVANT STATUTES AND RULES RELATING TO E-MAIL RETENTION. Summary: THE FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO FINDINGS THAT IT VIOLATED THE STATUTES AND RULES NOTED IN ITEM #7 ABOVE. THE FIRM AGREED TO A CENSURE, A FINE IN THE AMOUNT OF $550,000.00 AND AN UNDERTAKING. ****** REGULATORY ACTION (86 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/24/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/23/2002 Docket/ Case Number: CAF020043 Allegations: NASD RULES 2110, 2210(D)(1), 2210(D)(2) - WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE ENTRY OF FINDINGS THAT IT PUBLICLY RECOMMENDED WINSTAR WHILE, THROUGH EMAILS AND INTERNAL DOCUMENTS, ITS ANALYSTS PRIVATELY EXPRESSED DOUBTS, DISCUSSED RISKS, CRITICIZED THE ASSUMPTIONS THAT HAD BEEN USED BY THE FIRM IN ITS ANALYSIS OF THE COMPANY AND RECOMMENDED THE SALE OF WINSTAR STOCK AT PRICES FAR BELOW THE PUBLISHED TARGET PRICE; RESPONDENT'S REPORTS CONTAINING A TARGET PRICE OF $50 PER SHARE IN 2001 WERE NOT BASED ON PRINCIPLES OF FAIR DEALING AND GOOD FAITH AND DID NOT PROVIDE A SOUND BASIS FOR EVALUATING FACTS REGARDING WINSTAR'S TARGET PRICE AND BUSINESS PROSPECTS AND THE RISKS OF INVESTING IN WINSTAR. IN ADDITION THE REPORTS CONTAINED EXAGERATED UNWARRANTED OR MISLEADING STATEMENTS OF CLAIMS ABOUT WINSTAR'S TARGET PRICE AND OPINIONS FOR WHICH THERE WAS NO REASONABLE BASIS, WHILE OMITTING MATERIAL FACTS OR QUALIFICATIONS WHICH CAUSED THE TARGET PRICE TO BE UNREASONABLE AND THE REPORTS TO BE MISLEADING; RESPONDENT BLAST VOICEMAIL MESSAGE REGARDING WINSTAR'S "$600 MILLION IN THE BANK" STATEMENT WAS NOT BASED ON PRINCIPLES OF FAIR DEALING AND GOOD FAITH AND DID NOT PROVIDE A SOUND BASIS FOR EVALUATING FACTS REGARDING WINSTAR'S FINANCIAL SITUATION. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/23/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000,000.00 Resolution Details: CENSURE AND FINE $5,000,000.00 Summary: *********************************** NASD BrokerCheck October 14, 2005 Page 106 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/27/2002 Initiated By: NASD Date initiated: 09/23/2002 Docket/ Case Number: AWC NO. CAF020043 Allegations: ALLEGED VIOLATIONS OF NASC CONDUCT RULES 2110 AND 2210 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/23/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000,000.00 Resolution Details: THE FIRM PAID A FINE OF $5,000,000 ON OCTOBER 7, 2002 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ON 09/23/2002 THE FIRM CONSENTED TO A CENSURE AND A FINE OF $5,000,000. CONCURRENTLY, THE NASD FILED A COMPLAINT AGAINST FORMER SSB RESEARCH ANALYST JACK B. GRUBMAN AND RESEARCH ANALYST CHRISTINE R. GOCHUICO ALLEGING VIOLATIONS OF THE SAME RULES. MR. GRUBMAN AND MS. GOCHUICO HAVE DENIED THE ALLEGED VIOLATIONS AND ARE CONTESTING THE PROCEEDING. ****** REGULATORY ACTION (87 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/15/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 03/05/2002 Docket/ Case Number: CMS020040 Allegations: NASD RULES 4613(E) AND 6130(D) - ? A MARKET MAKER IN SECURITIES, CAUSED A LOCKED/CROSSED MARKET CONDITION PRIOR TO THE MARKET OPENING B ENTERING A BID (ASK) QUOTATION THAT LOCKED/CROSSED ANOTHER MARKET MAKER?S QUOTATIONS WITHOUT IMMEDIATELY THEREAFTER SENDING THROUGH SELECTNET TO THE MARKET MAKER(S) WHOSE QUOTE(S) IT LOCKED OR CROSSED A TRADE-OR MOVE MESSAGE(S) THAT WAS AT THE RECEIVING MARKET MAKER?S QUOTED PRICE AND WHOSE AGGREGATE SIZE WAS AT LEAST 5000 SHARES; AND, EXECUTED SHORT SALE AND LONG SALE TRANSACTIONS AND INCORRECTLY REPORTED EACH OF THESE TRANSACTIONS TO ACT WITH THE CORRECT SHORT SALE MODIFIER. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/05/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $62,500.00 Resolution Details: NONE Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/03/2002 Initiated By: NASD REGULATION, INC. Date initiated: 03/05/2002 NASD BrokerCheck October 14, 2005 Page 107 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Docket/ Case Number: CMS 020040 Allegations: ALLEGATIONS THAT THE FIRM VIOLATED NASD MARKETPLACE RULES 4613(E)(1)(C) AND 6130(D). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/05/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $62,500.00 Resolution Details: THE FIRM WAS CENSURED AND FINED $62,500.00 Summary: THE FIRM WAS CENSURED AND PAID FINES OF $47,500.00 FOR THE TRADE-OR-MOVE VIOLATIONS, $10,000.00 FOR THE LOCKED AND CROSSED MARKETS VIOLATIONS AND $5,000.00 FOR THE SHORT SALE REPORTING VIOLATIONS. ****** REGULATORY ACTION (88 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/09/2003 Initiated By: STATE OF RHODE ISLAND - DEPT. OF BUSINESS REGULATION Date initiated: 12/21/2001 Docket/ Case Number: Allegations: ALLEGATIONS OF UNSUITABILITY OF CERTAIN SECURITIES, FAILURE TO FOLLOW INSTRUCTIONS TO LIQUIDATE, FAILURE TO DISCOUNT FEES. Current Status: Final Resolution: Order Resolution Date: 08/21/2003 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $13,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING ANY FINDINGS OR VIOLATIONS, THE FIRM CONSENTED TO A CEASE AND DESIST ORDER AND AGREED TO PAY AN ADMINISTRATIVE FEE OF $13,000.00. THE FEE WAS PAID IN AUGUST, 2003. Summary: THE FIRM WAS DIRECTED TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF THE RHODE ISLAND UNIFORM SECURITIES ACT AND DIRECTED TO DISTRIBUTE A MEMORANDUM TO ALL FINANCIAL CONSULTANTS IN THE PROVIDENCE, RHODE ISLAND OFFICE REMINDING THEM TO PERIODICALLY REVIEW CLIENT PROFILES AND INVESTMENT OBJECTIVES. ****** REGULATORY ACTION (89 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/26/2002 Initiated By: UTAH DIVISION OF SECURITIES Date initiated: 05/14/2001 Docket/ Case Number: SD-01-0076 Allegations: ENGAGED IN A "DISHONEST OR UNETHICAL PRACTICES" BY ENGAGING IN A PATTERN OF UNREASONALBE AND UNJUSTIFIABLE DELAYS IN THE NASD BrokerCheck October 14, 2005 Page 108 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) DELIVERY OF SECURITIES PURCHASED BY ANY OF ITS CUSTOMERS OR IN THE PAYMENT, UPON REQUEST, OF FREE CREDIT BALANCES REFLECTING COMPLETED TRANSACTIONS OF ANY OF ITS CUSTOMERS, OR BOTH. UTAH ADMIN CODE R164-6-1(G)(C)(1). FAILURE TO ADOPT, IMPLEMENT AND FOLLOW ADEQUATE SUPERVISORY & COMPLIANCE PROCEDURES; FRAUD; OMISSION OF MATERIAL FACT. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 08/21/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $100,000.00 Resolution Details: AGREE TO COMPLY WITH NASD NOTICE TO MEMBERS 79-7, UTAH AMINISTRATIVE CODE R164-6-1G(C)(1), NYSE RULE 412, NASD INTERPRETIVE MATERIAL 2110-7, AND WILL DISCONTINUE THE PRACTICE OF STOPPING ACAT REQUESTS. AGREE TO COMPLY WITH ALL FEDERAL AND STATE SECURITIES LAWS. BASED ON THIS STIPULATION & CONSENT ORDER, THE DIVISION AGREES TO DISMISS THE PENDING ACTION AGAINST COTTLE (SD-01-0075). Summary: RESPONDENT SOUGHT AND RECEIVED A TEMPORARY RESTRAINING ORDER IN UTAH THIRD DISTRICT COURT INVOLVING AN EMPLOYMENT DISPUTE, AND IN CONNECTION WITH THE RESTRAINING ORDER RESPONDENT REFUSED TO TRANSFER CLIENT ACCOUNTS THROUGH THE ACAT SYSTEM DESPITE A REQUEST BY THE CLIENT. FOR MORE INFORMATION PLEASE VISIT DIVISION'S WEB SITE AT: HTTP://WWW.SECURITIES.UTAH.GOV/ACTIONSEVENTS.ASP?DOCKET+NUMBER= SD%2D01%2D0076 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/11/2002 Initiated By: STATE OF UTAH DEPT. OF COMMERCE - DIVISION OF SECURITIES Date initiated: 05/15/2001 Docket/ Case Number: SD-01-0076/SD-01-0075 Allegations: ALLEGATION OF VIOLATION OF UTAH ADMIN. CODE R164-6-1(G)(C)(1),(12),(28); UTAH CODE ANN. SEC. 61-1-6(1)(G); NASD RULE 11870 AND NYSE RULE 412. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 07/09/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000,000.00 Resolution Details: THE FIRM PAID A FINE IN THE AMOUNT OF $100,000.00 IN AUGUST, 2002 Summary: WITHOUT ADMITTING OR DENYING THE SUBSTANCE OF THE DIVISION'S CONCLUSIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $100,000.00 ****** REGULATORY ACTION (90 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/06/2001 Initiated By: STATE OF CONNECTICUT DEPT. OF BANKING Date initiated: 07/06/2001 Docket/ Case Number: CO-01-6251-S NASD BrokerCheck October 14, 2005 Page 109 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: FIRM ALLEGEDLY VIOLATED SEC. 36B-6(D) OF THE CONNECTICUT UNIFORM SECURITIES ACT BY TRANSACTING BUSINESS FROM AN UNREGISTERED BRANCH OFFICE AT 19 HALL ROAD, OLD LYME, CONNECTICUT. Current Status: Final Resolution: Consent Resolution Date: 07/06/2001 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Other Sanctions: CONSENT ORDER ENTERED 7/6/2001 REQUIRING THAT THE FIRM REVISE AND IMPLEMENT SUPERVISORY AND COMPLIANCE PROCEDURES REASONABLY DESIGNED TO PREVENT AND DETECT VIOLATIONS OF CONNECTICUT BRANCH OFFICE REGISTRATION REQUIREMENTS. CONSENT ORDER ALSO ASSESSED THE FIRM $1,750 (SEE BELOW FOR BREAKDOWN). Resolution Details: $1,750 ASSESSED WAS BROKEN DOWN AS FOLLOWS: $1,500: ADMINISTRATIVE FINE $100: REIMBURSEMENT FOR PAST DUE BRANCH OFFICE REGISTRATION FEES $150: REIMBURSEMENT FOR DEPT. INVESTIGATIVE COSTS Summary: SEE ABOVE. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/08/2001 Initiated By: STATE OF CONNECTICUT Date initiated: 06/28/2001 Docket/ Case Number: CO-01-6251-S Allegations: ALLEGATION THAT SALOMON SMITH BARNEY INC. TRANSACTED BUSINESS AT A LOCATION THAT WAS NOT REGISTERED WITH THE STATE. NOTE THAT EACH OF THE THREE REGISTERED INDIVIDUALS WERE PROPERLY REGISTERED WITH THE STATE OF CONNECTICUT. Current Status: Final Resolution: Consent Resolution Date: 07/06/2001 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Other Sanctions: $100.00 REGISTRATION FEES AND $150.00 REIMBURSEMENT FOR INVESTIGATIVE COSTS Resolution Details: $1,500.00 FINE; $100.00 REGISTRATION FEES AND $150.00 REIMBURSEMENT FOR INVESTIGATIVE COSTS Summary: ON JULY 6, 2001 SALOMON SMITH BARNEY INC. AGREED TO A CONSENT ORDER AND AGREED TO PAY A FINE IN THE AMOUNT OF $1,500.00, $100.00 REGISTRATION FEES AND $150.00 FOR INVESTIGATIVE COSTS. ****** REGULATORY ACTION (91 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 01/12/2001 Initiated By: OFFICE OF COMM. OF FINANCIAL INSTITUTIONS - GOVT. OF PUERTO RICO Date initiated: 11/30/2000 Docket/ Case Number: Q00-V-107 Allegations: ALLEGED FAILURE TO RESPOND TO A REQUEST FOR INFORMATION ON A NASD BrokerCheck October 14, 2005 Page 110 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) TIMELY BASIS. Current Status: Final Resolution: Order Resolution Date: 11/30/2000 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: THE FIRM WAS FINED ONE THOUSAND DOLLARS ($1,000.00) FOR FAILING TO RESPOND TO A REQUEST FOR INFORMATION ON A TIMELY BASIS. Summary: THE OFFICE OF THE COMMISSIONER OF FINANCIAL INSTITUTIONS, GOVERNMENT OF PUEERT RICO ISSUED AN ORDER ON NOVEMBER 30, 2000 FINING SALOMON SMITH BARNEY INC. ONE THOUSAND DOLLARS ($1,000.00) FOR FAILING TO RESPOND TO A REQUEST FOR INFORMATION ON A TIMELY BASIS. FAILURE TO RESPOND WAS DUE TO LOCAL BRANCH ERROR. A RESPONSE HAS BEEN PROVIDED AND THE FINE HAS BEEN PAID. ****** REGULATORY ACTION (92 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/01/2000 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/24/1995 Docket/ Case Number: C07950027 Allegations: ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF RULES OF FAIR PRACTICE, IN CONTRAVENTION OF THE BOARD OF GOVERNORS FREE-RIDING AND WITHHOLDING INTERPRETATION Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 09/19/1995 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: NONE Summary: TOP] COMPLAINT NO. C07950027 FILED 4/24/95 BY DISTRICT NO. 7 AGAINST THE ROBINSON-HUMPHREY COMPANY, INC., LEE GREGORY DIAMOND, SMITH BARNEY INC., RICHARD P. CALLAHAN, TERRANCE RAVENSCRAFT AND CHRISTOPHER ASLANIAN ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF RULES OF FAIR PRACTICE, IN CONTRAVENTION OF THE BOARD OF GOVERNORS FREE-RIDING AND WITHHOLDING INTERPRETATION, SMITH BARNEY AND ROBINSON-HUMPHREY ACTING THROUGH CALLAHAN AND RAVENSCRAFT SOLD SHARES OF NEW ISSUES THAT TRADED AT A PREMIUM IN THE IMMEDIATE AFTERMARKET TO ASLANIAN, DIAMOND AND INVESTMENT PARTNERSHIPS; ROBINSON-HUMPHREY FAILED TO INQUIRE INTO THE BENEFICIAL OWNERSHIP OF THE INVESTMENT PARTNERSHPS AND FAILED TO OBTAIN RECORDS THEREOF AS REQUIRED BY THE INTERPRETATION; SUBMITTED INACCURATE FREE-RIDING AND WITHHOLDING QUESTIONNAIRES IN THAT IT FAILED TO DISCLOSE THAT IT WAS THE MANAGING UNDERWRITER OF A PARTICULAR OFFERING; AND, INACCURATELY REPORTED THE NUMBER OF SHARES OF COMMON STOCK SOLD TO BANKS, TRUST COMPANIES AND OTHER CONDUITS, AS WELL AS TO INVESTMENT PARTNERSHIPS AND CORPORATIONS; AND, SMITH BARNEY FAILED TO ESTABLISH OR MAINTAIN SUPERVISORY PROCEDURES ADEQUATE TO ASSURE COMPLIANCE WITH THE INTERPRETATION BY ROBINSON-HUMPHREY OR SMITH BARNEY. *** ON 9/19/95, THE DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT SUBMITTED BY SMITH BARNEY INC. WAS ISSUED: THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $7,500. ON 9/19/95, THE DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT SUBMITTED BY THE ROBINSON-HUMPHREY COMPANY, INC. WAS ISSUED: THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $2,500. IF NO FURTHER ACTION, DECISION IS FINAL 12/18/95. **$7,500.00 PAID ON 10/13/95, INVOICE# 95-07-619** ON 12/6/95, THE DECISION AND ORDER OF ACCEPTANCE OF OFFER OF NASD BrokerCheck October 14, 2005 Page 111 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) SETTLEMENT SUBMITTED BY RAVENSCRAFT WAS ISSUED: THEREFORE, HE IS CENSURED AND FINED $1,330.85. ****** REGULATORY ACTION (93 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/13/2000 Initiated By: CHICAGO BOARD OPTIONS EXCHANGE, INC. Date initiated: 12/30/1986 Docket/ Case Number: Allegations: TRANSACTED OPTIONS WITH THE PUBLIC WHEN ITS MANAGER OF THE INDIANAPOLIS, INDIANA AND ROSEBURG, OREGON, BRANCH OFFICES WAS NOT QUALIFIED AS A REGISTERED OPTIONS PRINCIPAL (ROP Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 12/30/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: FINED IN THE AMOUNT OF $1000.00 Summary: [TOP] 12/17/86 - ?DECISION DISMISSING ONE ALLEGED VIOLATION EXCHANGE RULE 9.6(B) FROM THE STATEMENT OF CHARGES, FILE #86-0038', CHICAGO BOARD OPTIONS EXCHANGE, INC. - IN THE MATTER OF SMITH BARNEY, HARRIS UPHAM & CO. INC. (SB): RESPONDENT ALLEGED TO HAVE TRANSACTED OPTIONS WITH THE PUBLIC WHEN ITS MANAGER OF THE INDIANAPOLIS, INDIANA AND ROSEBURG, OREGON, BRANCH OFFICES WAS NOT QUALIFIED AS A REGISTERED OPTIONS PRINCIPAL (ROP). PURSUANT TO REQUEST FOR DISMISSAL, THE BUSINESS CONDUCT COMMITTEE WAS ADVISED OF FACTS WHICH INDICATES THAT A VIOLATION PERTAINING TO THE INDIANAPOLIS BRANCH OFFICE AROSE OUT OF A MISIDENTIFICATION OF THE BRANCH MANAGER. THEREFORE, DURING THE PERIOD INVOLVED, THE INDIANAPOLIS BRANCH MANAGER WAS QUALIFIED AS A ROP. BASED ON THE ABOVE WHICH INDICATE SB DID NOT VIOLATE EXCHANGE RULE 9.6(B) WITH RESPECT TO THE INDIANAPOLIS BRANCH OFFICE, COMMITTEE DISMISSES ALLEGATIONS PERTAINING TO THAT OFFICE. THIS DOES NOT AFFECT ALLEGATIONS CONCERNING VIOLATION OF RULE 9.6(B) IN CONNECTION WITH THE ROSEBURG BRANCH OFFICE HOWEVER. *** 3/24/87-ADDITIONAL INFORMATION RECEIVED REGARDING CBOE FILE # 86-0038: FROM ON OR ABOUT 10/29/85 THROUGH ON OR ABOUT 1/16/86, THE ROSENBURG BRANCH OFFICE OF SB TRANSACTED OPTIONS BUSINESS WITH THE PUBLIC WHEN THE MANAGER OF THAT BRANCH OFFICE WAS NOT QUALIFIED AS A ROP. COMMITTEE DETERMINED TO ACCEPT RESPONDENT'S OFFER OF SETTLEMENT BASED ON THE FOLLOWING: THE ACTS, PRACTICES AND CONDUCT DESCRIBED ABOVE CONSTITUTE A VIOLATION OF EXCHANGE RULE 9.6(B) BY SB. BASED ON THE PARTICULAR FACTS OF THIS MATTER AND IN LIGHT OF PRIOR SIMILAR CONDUCT INVOLVING THE ROSEBURG BRANCH OFFICE, SEC BELIEVES IT APPROPRIATE TO ACCEPT RESPONDENT'S OFFER OF SETTLEMENT WHERE IT CONSENTS TO A $1,000 FINE FOR THE CONDUCT ABOVE. ACCORDINGLY IT IS ORDERED, THAT RESPONDENT, SB IS FINED IN THE AMOUNT OF $1,000. ORDER DATED 12/30/86. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 07/16/1985 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED VIOLATED CHICAGO BOARD OPTIONS EXCHANGE RULE 9.68. Current Status: Final NASD BrokerCheck October 14, 2005 Page 112 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution: Decision Resolution Date: 04/29/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: ON OR ABOUT APRIL 29, 1986, THE CHICAGO BOARD OPTIONS EXCHANGE FINED PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED THE SUM OF $1,000.00. Summary: ON OR ABOUT APRIL 29, 1986 THE CHICAGO BOARD OPTIONS EXCHANGE ASSESSED PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. A FINE IN THE AMOUNT OF $1,000.00. ****** REGULATORY ACTION (94 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/06/2000 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION. Date initiated: 04/06/2000 Docket/ Case Number: RELS. 33-7829; 34-42634; FILE #3-10177 Allegations: THE SEC'S ORDERS ALLEGE AS FOLLOWS: FROM 1990 THROUGH 1994, EACH OF THE TEN BROKERAGE FIRMS CHARGED ISSUERS OF MUNICIPAL REFUNDING BONDS EXCESSIVE, UNDISCLOSED MARKUPS ON TREASURY SECURITIES. THE FIRMS ALSO CERTIFIED THAT THE PRICES THEY CHARGED DID NOT EXCEED THE SECURITIES' FAIR MARKET VALUE UNDER THE FEDERAL TAX LAWS, EVEN THOUGH THEY KNEW OR SHOULD HAVE KNOWN THAT THEY WERE CHARGING PRICES ABOVE FAIR MARKET VALUE. THE FALSE REPRESENTATIONS BY THE FIRMS ABOUT THE FAIR MARKET VALUE OF THE SECURITIES WERE CRITICAL TO ESTABLISHING THE TAX-EXEMPT STATUS OF THE ASSOCIATED MUNICIPAL REFUNDING BONDS. THAT TAX-EXEMPT STATUS WAS THE BONDS' ESSENTIAL INVESTMENT FEATURE. IN SOME CASES, A BROKERAGE FIRM'S OVERCHARGING DIVERTED MONEY FROM THE U.S. TREASURY TO THE FIRM. IN THE REMAINING CASES, OVERCHARGING BY THE BROKERAGE FIRM TOOK MONEY AWAY FROM THE MUNICIPALITY BY REDUCING, DOLLAR FOR DOLLAR, THE SAVINGS THAT THE MUNICIPALITY RECEIVED FROM THE REFUNDING. THEREFORE, EACH OF THE FIRMS VIOLATED THE FEDERAL SECURITIES LAWS BY SELLING SECURITIES TO MUNICIPALITIES AT INFLATED PRICES AND JEOPARDIZING THE TAX-EXEMPT STATUS OF THE MUNICIPALITIES' REFUNDING BONDS. Current Status: Final Resolution: Consent Resolution Date: 04/06/2000 Sanctions Ordered: Disgorgement/Restitution, Censure, Cease and Desist/Injunction Resolution Details: (1) A CENSURE; (2) A CEASE AND DESIST ORDER PROHIBITING FROM FUTURE VIOLATIONS OF THE SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT OF 1933; AND (3) DISGORGEMENT OF $45 MILLION ($38 MILLION TO THE TREASURY AND $7 MILLION TO MUNICIPAL ISSUERS). Summary: +04/09/2000+ SEC NEWS DIGEST, ISSUE NO. 2000-65, DATED 04/06/2000, ENFORCEMENT PROCEEDINGS DISCLOSES: THE SEC TODAY BROUGHT AND SETTLED CIVIL ADMINISTRATIVE FRAUD CHARGES AGAINST TEN WALL STREET AND REGIONAL BROKERAGE FIRMS FOR OVERCHARGING MUNICIPALITIES FOR GOVERNMENT SECURITIES IN A PRACTICE COMMONLY KNOWN AS "YIELD BURNING." THE SETTLEMENTS ANNOUNCED TODAY ARE PART OF A GLOBAL RESOLUTION OF ALL YIELD BURNING CLAIMS WITH A TOTAL OF SEVENTEEN BROKERAGE FIRMS BY THE SEC, NASD REGULATION, INC., THE U.S. ATTORNEY FOR THE SOUTHERN DISTRICT OF NEW YORK, AND THE DEPARTMENT OF THE TREASURY. THIS GLOBAL RESOLUTION REQUIRES THE FIRMS TO PAY A TOTAL OF MORE THAN $139 MILLION. INCLUDING THE ACTIONS ANNOUNCED TODAY, MORE THAN $172 MILLION WILL HAVE BEEN PAID BY 21 FIRMS TO RESOLVE CHARGES OF YIELD BURNING AND RELATED CLAIMS. YIELD BURNING INVOLVES OVERCHARGES BY BROKERAGE FIRMS ON TREASURY SECURITIES PURCHASED WITH PROCEEDS FROM THE SALE OF MUNICIPAL BONDS. YIELD BURNING BY BROKERAGE FIRMS JEOPARDIZED THE TAX-EXEMPT NASD BrokerCheck October 14, 2005 Page 113 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) STATUS OF INTEREST PAID TO HOLDERS OF THOSE BONDS. WITHOUT ADMITTING OR DENYING THE FINDINGS, EACH FIRM INCLUDING SALOMON SMITH BARNEY INC. CONSENTED TO A CENSURE, A CEASE AND DESIST ORDER PROHIBITING FUTURE VIOLATIONS, AND AGREED TO DISGORGE THE ILL-GOTTEN GAINS IT RECEIVED FROM THE OVERCHARGING. (RELS. 33-7829; 34-42634; FILE #3-10177) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: U.S. DEPARTMENT OF JUSTICE Date initiated: 04/06/2000 Docket/ Case Number: Allegations: ALLEGED EXCESSIVE MARKUP OF U.S. TREASURY SECURITIES SOLD TO REFUNDING ESCROWS Current Status: Final Resolution: Settled Resolution Date: 04/06/2000 Sanctions Ordered: Censure, Cease and Desist/Injunction Other Sanctions: UNDERTAKING TO PAY $38,057,982 TO THE U.S. TREASURY; UNDERTAKING TO PAY $6,923,860 TO CERTAIN MUNICIPAL ISSUERS Resolution Details: THE FIRM WAS CENSURED AND SUBJECT TO A CEASE AND DESIST ORDER. THE FIRM PAID $38,057,982 TO THE U.S. TREASURY AND $6,923,860 TO CERTAIN MUNICIPAL ISSUERS. THE PENALTY WAS NOT WAIVED AND THE SETTLEMENT WAS PAID ON APRIL 12, 2000. Summary: DISPOSITION BY SIMULTANEOUS GLOBAL SETTLEMENT WITH THE SEC AND U.S. DEPARTMENT OF JUSTICE AS PART OF A GLOBAL SETTLEMENT INVOLVING TEN SECURITIES FIRMS. ****** REGULATORY ACTION (95 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/07/2000 Initiated By: THE NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 01/24/2000 Docket/ Case Number: CMS000003 Allegations: 02/15/00GS: NASD RULES 2110, 6240(A), 6240(B) AND 3010 - RESPONDENT MEMBER REPORTED TRANSACTIONS TO FIXED INCOME PRICING SYSTEM ("FIPS") IN VIOLATION OF APPLICABLE RULES AND REGULATIONS; AND, WHEN REQUESTED BY THE NASD, RESPONDENT MEMBER WAS UNABLE TO PROVIDE DOCUMENTATION SHOWING THAT IT ENFORCED ITS WRITTEN SUPERVISORY PROCEDURES RELATING TO THE REPORTING OF TRANSACTIONS IN HIGH YIELD COMPORATE DEPTS SECURITIES THROUGH FIPS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/24/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $8,000.00 Resolution Details: CENSURED AND FINED $8,000 09-07-00, $8,000 PAID 3/07/00, INVOICE #00-MS-113 Summary: NASD BrokerCheck October 14, 2005 Page 114 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. Date initiated: 01/21/2000 Docket/ Case Number: CMS000003 AWC Allegations: ALLEGED VIOLATIONS OF NASAD MARKETPLACE RULES 6240(A) AND 6240(B) AND NASD CONDUCT RULES 2110 AND 3010. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/21/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $8,000.00 Resolution Details: THE FIRM WAS CENSURED AND FINED A TOTAL OF $8,000.00 ($7,000.00 FOR ALLEGED VIOLATIONS OF NASD MARKETPLACE RULES 6240(A) AND 6240(B) AND NASD CONDUCT RULE 2110; $1,000 FOR ALLEGED VIOLATION OF NASD CONDUCT RULES 2110 AND 3010. Summary: ON JANUARY 21, 2000 SALOMON SMITH BARNEY CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS TO A CENSURE AND FINES TOTALING $8,000.00. ****** REGULATORY ACTION (96 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 10/21/1997 Docket/ Case Number: CMS 970046 Allegations: ALLELGATION THAT PREDECESSOR FIRM SALOMON BROTHERS INC VIOLATED NASD MAARKETPLACE RULES 4632 AND 6130(B) FOR IMPROPER TRADE REPORTING AND SEC RULE 17A-3(A)(6) AND CONDUCT RULE 3110 FOR IMPROPER RECORD KEEPING. Current Status: Final Resolution: Settled Resolution Date: 10/21/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: ON OCTOBER 21, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND PAID FINES OF $1,000.00 FOR THE TRADE REPORTING VIOLATION AND $1,000.00 FOR THE RECORD KEEPING VIOLATION. Summary: ON OCTOBER 21, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND WAS FINED BY THE NASD IN THE AMOUNT OF $1,000.00 FOR THE TRADE REPORTING VIOLATION AND $1,000.00 FOR THE RECORD KEEPING VIOLATION. ****** REGULATORY ACTION (97 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: NASD BrokerCheck October 14, 2005 Page 115 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Initiated By: NASD Date initiated: 08/06/1997 Docket/ Case Number: ETR NO. 100960062 Allegations: ALLEGED VIOLATION BY PREDECESSOR FIRM SALOMON BROTHERS INC OF NASD MARKETPLACE RULES 6420(A)(3)(A), 6130(B) AND 4632 FOR IMPROPER TRADE REPORTING AND A VIOLATION OF SEC RULE 17A-3(A)(6) AND NASD CONDUCT RULE 3110 FOR IMPROPER RECORD KEEPING. Current Status: Final Resolution: Settled Resolution Date: 08/06/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: ON AUGUST 6, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND A FINE IN THE AMOUNT OF $2,000.00 WAS PAID. Summary: ON AUGUST 6, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND WAS FINED BY THE NASD THE SUM OF $2,000.00. ****** REGULATORY ACTION (98 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 11/07/1996 Docket/ Case Number: CMS 960199 Allegations: ALLEGED VIOLATION BY PREDECESSOR FIRM SALOMON BROTHERS INC OF SEC RULE 10B-6A IN THAT THE FIRM, A PASSIVE MARKET MAKER, PURCHASED SHARES OF A SECURITY AT A PRICE WHICH EXCEEDED THE HIGHEST INDEPENDENT BID BY 1/8 POINT. Current Status: Final Resolution: Settled Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: ON APRIL 23, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER WITH THE NASD AND PAID A FINE IN THE AMOUNT OF $1,000.00. Summary: ON APRIL 23, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND WAS FINED THE SUM OF $1,000.00 BY THE NASD. ****** REGULATORY ACTION (99 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 04/21/1997 Docket/ Case Number: NYSE 97410 NASD BrokerCheck October 14, 2005 Page 116 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: ALLEGED VIOLATION BY PREDECESSOR FIRM SALOMON BROTHERS INC OF NEW YORK STOCK EXCHANGE RULE 476(A)(11) FOR LATE AND/OR INACCURATE DAILY PROGRAM TRADE REPORTING. Current Status: Final Resolution: Settled Resolution Date: 04/21/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Resolution Details: ON OR ABOUT APRIL 21, 1997 THE NEW YORK STOCK EXCHANGE FINED PREDECESSOR FIRM SALOMON BROTHERS INC AND THE FIRM PAID THE $2,500.00 FINE. Summary: ON OR ABOUT APRIL 21, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND WAS FINED $2,500.00 BY THE NEW YORK STOCK EXCHANGE. ****** REGULATORY ACTION (100 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 05/30/1996 Docket/ Case Number: FILE NO. 96-0049 Allegations: ALLEGATION THAT PREDECESSOR FIRM SALOMON BROTHERS INC VIOLATED CHICAGO BOARD OPTIONS EXCHANGE POSITION LIMIT RULES 4.11 AND 24.4(A). Current Status: Final Resolution: Settled Resolution Date: 12/20/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: ON DECEMBER 20, 1996 THE CHICAGO BOARD OPTIONS EXCHANGE CENSURED PREDECESSOR FIRM SALOMON BROTHERS INC AND THE FIRM PAID A FINE IN THE AMOUNT OF $25,000.00. Summary: ON DECEMBER 20, 1996 THE CHICAGO BOARD OPTIONS EXCHANGE CENSURED PREDECESSOR FIRM SALOMON BROTHERS INC AND FINED THE FIRM THE SUM OF $25,000.00. ****** REGULATORY ACTION (101 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 10/01/1997 Docket/ Case Number: 97-128 Allegations: ALLEGATION THAT PREDECESSOR FIRM SALOMON BROTHERS INC VIOLATED NEW YORK STOCK EXCHANGE ("NYSE") RULE 393 BY PARTICIPATING IN AN "OFF-BOARD" SECONDARY DISTRIBUTION OF A SECURITY ADMITTED TO DEALING ON THE NYSE WITHOUT NYSE APPROVAL AND ALLEGED VIOLATION OF NYSE RULE 390(A) BY EFFECTING TRANSACTIONS ON A LISTED STOCK IN THE OVER-THE-COUNTER MARKET. Current Status: Final NASD BrokerCheck October 14, 2005 Page 117 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution: Settled Resolution Date: 10/01/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: ON OCTOBER 1, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER, WAS CENSURED BY THE NEW YORK STOCK EXCHANGE AND PAID A FINE IN THE AMOUNT OF $25,000.00. Summary: ON OCTOBER 1, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC WAS CENSURED BY THE NEW YORK STOCK EXCHANGE AND FINED THE SUM OF $25,000.00. ****** REGULATORY ACTION (102 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 09/28/1978 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED VIOLATED AMERICAN STOCK EXCHANGE SUPERVISION RULES WITH RESPECT TO A CUSTOMER ACCOUNT. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/30/1980 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: ON SEPTEMBER 5, 1979 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED STIPULATED TO CERTAIN FINDINGS AND PAID A FINE IN THE AMOUNT OF $5,000.00. Summary: ON SEPTEMBER 5, 1979, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED ("SBHU"), WITHOUT ADMITTING OR DENYING THE CHARGES AND SOLELY FOR THE PURPOSE OF SETTLEMENT, STIPULATED TO CERTAIN FINDINGS AND CONCLUSIONS AND CONSENTED TO A PENALTY IN THE FORM OF A $5,000.00 FINE. THE AMERICAN STOCK EXCHANGE PANEL TOOK PAINS TO POINT OUT THAT THE ALLEGED VIOLATIONS OCCURRED PRIOR TO, OR DURING THE PERIOD THAT SMITH BARNEY & CO. WAS ACQUIRING HARRIS UPHAM ("HU"), THAT ANY WRONGDOING WAS ON THE PART OF HU AND THAT SBHU WAS BEING HELD RESPONSIBLE FOR THE ACTS OF THE ACQUIRED ENTITY. ****** REGULATORY ACTION (103 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 09/29/1978 Docket/ Case Number: N/A Allegations: ALLEGATION OF FAILURE TO REASONABLY SUPERVISE BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED. Current Status: Final Resolution: Settled NASD BrokerCheck October 14, 2005 Page 118 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 10/24/1980 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: ON OCTOBER 24, 1980 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER AND PAID A FINE OF $5,000.00. Summary: PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER ON OCTOBER 24, 1980 WITHOUT ADMITTING OR DENYING THE ALLEGATIONS AND CONSENTED TO PAY A FINE IN THE AMOUNT OF $5,000.00. ****** REGULATORY ACTION (104 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: IDAHO DEPARTMENT OF FINANCE Date initiated: 05/30/1997 Docket/ Case Number: DOCKET NO. 1997-7-57 Allegations: ALLEGED VIOLATION BY PREDECESSOR FIRM SMITH BARNEY INC. OF SECTIONS 30-1416, 30-1403(2) AND 30-1403(3) OF THE IDAHO CODE AND RULES 117.08 AND 118 OF THE IDAHO SECURITIES ACT. Current Status: Final Resolution: Settled Resolution Date: 06/05/1997 Sanctions Ordered: Other Sanctions: UNDERTAKING Resolution Details: ON JUNE 5, 1997 PREDECESSOR FIRM SMITH BARNEY INC. CONSENTED TO AN UNDERTAKING. Summary: ON JUNE 5, 1997 PREDECESSOR FIRM SMITH BARNEY INC. SETTLED THE MATTER AND CONSENTED TO AN UNDERTAKING IN ORDER TO COMPLY WITH IDAHO REGISTRATION PROVISIONS. ****** REGULATORY ACTION (105 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 08/28/1973 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED INTERJECTED ITSELF BETWEEN THE BEST PREVAILING MARKET IN SEVERAL OTC SECURITIES AND THE PUBLIC CUSTOMERS OF ANOTHER BROKER-DEALER, WHICH EXECUTED ITS OTC BUSINESS THROUGH THE FIRM. Current Status: Final Resolution: Settled Resolution Date: 08/28/1973 Sanctions Ordered: Monetary/Fine, Censure NASD BrokerCheck October 14, 2005 Page 119 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $3,000.00 Resolution Details: ON AUGUST 28, 1973 THE NASD CENSURED PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED, AN OFFICE MANAGER AND ONE ITS OTC CLERKS, AND FINED THEM JOINTLY AND SEVERALLY THE SUM OF $3,000.00. Summary: ON AUGUST 28, 1973 THE NASD CENSURED PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED, AN OFFICE MANAGER AND ONE OF ITS OTC CLERKS AND FINED THEM JOINTLY AND SEVERALLY THE SUM OF $3,000.00. ****** REGULATORY ACTION (106 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/23/1991 Docket/ Case Number: SEC FILE NO. HO-2513 Allegations: ALLEGED VIOLATION OF SECTION 17(A) OF THE EXCHANGE ACT AND 17 C.F.R. SECTIONS 240.17A-3 AND 240.17A-4 FOR FAILURE TO MAINTAIN ACCURATE BOOKS AND RECORDS IN CONNECTION WITH THE PRIMARY DISTRIBUTION OF GOVERNMENT SPONSORED ENTERPRISE UNSECURED DEBT SECURITIES. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 08/23/1991 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $100,000.00 Other Sanctions: PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED REQUIRED TO IMPLEMENT AND MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH SECTION 17(A) OF THE EXCHANGE ACT AND 17 C.F.R. SECTIONS 240.17A-3 AND 240.17A-4. Resolution Details: ON OR ABOUT AUGUST 23, 1991 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CONSENTED TO THE ENTRY OF AN ORDER BY THE SEC THAT THE FIRM VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND 17 C.F.R. SECTIONS 240.17A-3 AND 240.17A-4. THE FIRM PAID A CIVIL MONEY PENALTY OF $100,000.00 AND AGREED TO IMPLEMENT AND MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE FUTURE COMPLIANCE WITH THE CITED REGULATIONS. Summary: IN ORDER TO SETTLE THAT ASPECT OF THE SEC'S INVESTIGATION RELATING TO GOVERNMENT SPONSORED SECURITIES AND WITHOUT ADMITTING OR DENYING LIABILITY, ON OR ABOUT AUGUST 23, 1991 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CONSENTED TO THE ENTRY OF AN ORDER THAT THE FIRM VIOLATED SECT. 17(A) OF THE EXCHANGE ACT AND 17 C.F.R. SECTIONS 240.17A-3 AND 240.17A-4. ****** REGULATORY ACTION (107 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 12/01/1980 Docket/ Case Number: DOCKET NO. 80-1255-81-182 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO DISCLOSE MATERIAL RISKS INVOLVED IN NASD BrokerCheck October 14, 2005 Page 120 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) FUTURES CONTRACTS, MISHANDLED A STOP-LOSS TRANSACTION AND UNREASONABLY DELAYED LIQUIDATION OF MARKET POSITIONS. Current Status: Final Resolution: Decision Resolution Date: 11/30/1983 Sanctions Ordered: Disgorgement/Restitution Resolution Details: ON NOVEMBER 30, 1983 A DECISION WAS RENDERED FINDING THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO DISCLOSE MATERIAL RESKS INVOLVED IN FUTURES CONTRACTS AND MISHANDLED A STOP-LOSS TRANSACTION. THE FIRM PAID REPARATIONS TOTALING $36,929.73 PLUS INTEREST AND FILING FEES. Summary: ON NOVEMBER 30, 1983 A DECISION WAS RENDERED, FINDING THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO DISCLOSE MATERIAL RISKS INVOLVED IN FUTURES CONTRACTS AND MISHANDLED A STOP-LOSS TRANSACTION. THE FIRM PAID REPARATIONS TOTALING $36,929.73 PLUS INTEREST AND FILING FEES. ****** REGULATORY ACTION (108 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD - BUSINESS CONDUCT COMMITTEE - DISTRICT 10 Date initiated: 04/20/1989 Docket/ Case Number: CASE NO. WA-613 Allegations: ALLEGATION THAT PREDECESSOR FIRM E.F. HUTTON & COMPANY VIOLATED ARTICLE IV, SECT. 1 OF THE BY-LAWS OF THE ASSOCIATION AND SCHEDULE C THERETO, AND ARTICLE III, SEC. 1 OF THE RULES OF FAIR PRACTICE FOR ALLEGEDLY EMPLOYING COLD CALLERS WHO MADE TELEPHONE CALLS TO MEMBERS OF THE PUBLIC UTILIZING PREPARED SCRIPTS. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 12/28/1989 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: ON DECEMBER 28, 1989, PREDECESSOR FIRM E.F. HUTTON & CO. CONSENTED TO CENSURE AND PAID A FINE IN THE AMOUNT OF $15,000.00. Summary: WITHOUT ADMITTING OR DENYING ALLEGATIONS THAT PREDECESSOR FIRM E.F. HUTTON & CO. EMPLOYED COLD CALLERS WHO MADE TELEPHONE CALLS TO MEMBERS OF THE PUBLIC UTILIZING PREPARED SCRIPTS, THE FIRM WAS CENSURED AND FINED IN THE AMOUNT OF $15,000.00. ****** REGULATORY ACTION (109 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES EXCHANGE COMMISSION OF THE STATE OF WISCONSIN Date initiated: 06/01/1983 Docket/ Case Number: N/A Allegations: ALLEGATION THAT THE MANNER IN WHICH A REGISTERED INDIVIDUAL NASD BrokerCheck October 14, 2005 Page 121 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) HANDLED, AND PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SUPERVISED CERTAIN ACCOUNTS WHICH INCURRED LOSSES IN CONNECTION WITH THE EXERCISE OF OPTIONS IN A WISCONSON BRANCH OFFICE. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/01/1983 Sanctions Ordered: Other Sanctions: WISCONSIN SECURITIES AGENT LICENSE OF THE REGISTERED INDIVIDUAL WAS SUSPENDED FOR 30 DAYS AND HE WAS PROHIBITED FROM AFFECTING SOLICITED, UNCOVERED OPTIONS TRANSACTIONS FOR ONE YEAR. PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PROHIBITED FROM AFFECTING UNCOVERED OPTIONS TRANSACTIONS THROUGH A WISCONSIN BRANCH OFFICE FOR A PERIOD OF 120 DAYS. Resolution Details: THE WISCONSIN SECURITIES AGENT LICENSE OF THE REGISTERED INDIVIDUAL WAS SUSPENDED FOR 30 DAYS AND HE WAS PROHIBITED FROM AFFECTING SOLICITED, UNCOVERED OPTIONS TRANSACTIONS FOR ONE YEAR. PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PROHIBITED FROM EFFECTING UNCOVERED OPTIONS TRANSACTIONS THROUGH ONE WISCONSIN BRANCH OFFICE FOR 120 DAYS. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED ENTERED INTO A CONSENT ORDER WHEREBY THE REGISTERED INDIVIDUAL'S WISCONSIN SECURITIES AGENT LICENSE WAS SUSPENDED FOR 30 DAYS AND HE WAS PROHIBITED FROM EFFECTING SOLICITED, UNCOVERED OPTIONS TRANSACTIONS FOR ONE YEAR. THE FIRM WAS PROHIBITED FROM EFFECTING UNCOVERED OPTIONS OPTIONS TRANSACTIONS THROUGH ONE WISCONSIN BRANCH OFFICE FOR 120 DAYS. ****** REGULATORY ACTION (110 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 11/20/1995 Docket/ Case Number: 95-0033 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY INC. VIOLATED EXCHANGE RULE 6.9(E) BY ENTERING A TRADE IN A RELATED INSTRUMENT WHILE HAVING KNOWLEDGE OF THE TERMS OF AN IMINENT, UNDISCLOSED, ORIGINAL ORDER Current Status: Final Resolution: Decision Resolution Date: 04/08/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,500.00 Resolution Details: ON APRIL 8, 1996 THE CHICAGO BOARD OPTIONS EXCHANGE CENSURED PREDECESSOR FIRM SMITH BARNEY INC. AND FINED THE FIRM $7,500.00 Summary: ON APRIL 8, 1996 THE CHICAGO BOARD OPTIONS EXCHANGE CENSURED PREDECESSOR FIRM SMITH BARNEY INC. AND FINED THE FIRM $7,500.00. ****** REGULATORY ACTION (111 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE NASD BrokerCheck October 14, 2005 Page 122 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 11/11/1991 Docket/ Case Number: NYSE NO. 89528 Allegations: ALLEGED VIOLATIONS OF EXCHANGE RULES 440B AND 440 IN CONNECTION WITH THE TRADING ACTIVITY ON OCTOBER 3, 1989 BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED. Current Status: Final Resolution: Settled Resolution Date: 12/12/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: ON DECEMBER 12, 1991 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER AND PAID A FINE OF $1,000.00 FOR EACH OF TWO RULE VIOLATIONS. Summary: ON DECEMBER 12, 1991 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER AND PAID A FINE OF $1,000.00 FOR EACH OF TWO RULE VIOLATIONS. ****** REGULATORY ACTION (112 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD - DISTRICT 8 Date initiated: 11/13/1992 Docket/ Case Number: C8A920084 Allegations: PREDECESSOR FIRM SHEARSON LEHMAN BROTHERS, INC. ALLEGEDLY FAILED TO SUPERVISE A REGISTERED REPRESENTATIVE WHO WAS ALLEGED TO HAVE MADE UNSUITABLE RECOMMENDATIONS TO CLIENTS CONCERNING THE PURCHASE OF MUTUAL FUND SHARES. Current Status: Final Resolution: Consent Resolution Date: 05/19/1993 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: ON MAY 19, 1993 PREDECESSOR FIRM SHEARSON LEHMAN BROTHERS, INC. CONSENTED TO A CENSURE AND PAID A FINE OF $5,000.00. Summary: ON MAY 19, 1993 PREDECESSOR FIRM SHEARSON LEHMAN BROTHERS, INC. SETTLED THIS MATTER WITHOUT ADMITTING OR DENYING THE NASD'S FINDINGS AND CONSENTED TO A CENSURE AND A FINE IN THE AMOUNT OF $5,000.00. ****** REGULATORY ACTION (113 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 08/25/1988 Docket/ Case Number: N/A Allegations: ALLEGED VIOLATION OF RULE 132.30 FOR DEFICIENCIES IN NASD BrokerCheck October 14, 2005 Page 123 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED'S SUBMISSIONS OF AUDIT TRAIL DATA FOR THE WEEK OF JUNE 6, 1988. Current Status: Final Resolution: Settled Resolution Date: 09/12/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Resolution Details: ON SEPTEMBER 12, 1988 THE FIRM SETTLED THE MATTER WAS ASSESSED A FINE OF $2,500.00. Summary: ON SEPTEMBER 12, 1988 THE FIRM SETTLED THE MATTER AND A FINE OF $2,500.00 WAS PAID. ****** REGULATORY ACTION (114 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 12/01/1987 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO SUBMIT SUFFICIENT AUDIT TRAIL DATA FOR THE WEEK OF AUGUST 10, 1987. Current Status: Final Resolution: Settled Resolution Date: 01/08/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: ON JANUARY 8, 1988 THE FIRM SETTLED THE MATTER AND WAS FINED $1,000.00. Summary: ON JANUARY 8, 1988 THE FIRM SETTLED THE MATTER AND WAS FINED $1,000.00. ****** REGULATORY ACTION (115 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF NEW MEXICO SECURITIES DIVISION Date initiated: 06/16/1986 Docket/ Case Number: N/A Allegations: ALLEGED FAILURE TO MAINTAIN A BRANCH OFFICE FILE OF ALL CUSTOMER COMPLAINTS, FAILURE TO FILE WITH THE DIRECTOR OF SECURITIES ANY CIVIL OR CRIMINAL PROCEEDINGS AGAINST PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED, FAILURE TO AMEND FORM BD TO REFLECT SUCH COMPLAINTS AND THE FAILURE TO FILE WITH THE DIVISION A LIST OF SECURITIES SOLD WITHIN THE STATE FOR A CERTAIN SIX MONTH PERIOD IN VIOLATION OF NEW MEXICO BLUE SKY REGULATIONS AND THE SECURITIES ACT OF NEW MEXICO. Current Status: Final NASD BrokerCheck October 14, 2005 Page 124 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution: Consent Resolution Date: 01/02/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $9,554.76 Resolution Details: ON JANUARY 2, 1987 A CONSENT AGREEMENTWAS ENTERED INTO AND THE FIRM AGREED TO THE PAYMENT OF $9,544.76. Summary: A CONSENT AGREEMENT WAS ENTERED INTO WITH THE STATE OF NEW MEXICO AND THE FIRM AGREED TO THE PAYMENT OF $9,544.76. ****** REGULATORY ACTION (116 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: THE STATE OF MASSACHUSETTS Date initiated: 03/25/1987 Docket/ Case Number: DOCKET NO. E-87-50 Allegations: ALLEGED VIOLATIONS OF SECTIONS 201(A), 201(B), 203(B) AND 203(C) OF THE MASSACHUSETTS GENERAL LAWS BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED. Current Status: Final Resolution: Settled Resolution Date: 09/15/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Other Sanctions: A) THE FIRM TO PROVIDE A REPORT DETAILING ITS NEW PROGRAM TO DENY CUSTOMER ACCOUNT NUMBERS TO AGENTS NOT REGISTERED IN MASSACHUSETTS; B) A COMPLETE AND CURRENT FOCUS AND FORM BD TO BE FILED. Resolution Details: ON SEPTEMBER 15, 1987, THE FIRM ENTERED INTO A STIPULATION AND CONSENT, PAID A FINE OF $1,000.00 AND AGREED TO THE SANCTIONS DETAILED ABOVE. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM ENTERED INTO A STIPULATION AND CONSENT ON SEPTEMBER 15, 1987. ****** REGULATORY ACTION (117 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF FLORIDA Date initiated: 04/06/1981 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED OPERATED AN OFFICE IN FLORIDA WHICH HAD NOT BEEN REGISTERED IN A TIMELY MANNER. Current Status: Final Resolution: Settled Resolution Date: 04/06/1981 Sanctions Ordered: Cease and Desist/Injunction NASD BrokerCheck October 14, 2005 Page 125 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: ON APRIL 6, 1981 THE STATE OF FLORIDA ISSUED A CEASE AND DESISIT ORDER. Summary: ON APRIL 6, 1981 THE STATE OF FLORIDA ISSUED A CEASE AND DESIST ORDER NAMING PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & COP. INCORPORATED. ****** REGULATORY ACTION (118 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMISSIONER OF SECURITIES, STATE OF GEORGIA Date initiated: 01/01/1981 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO PROPERLY REGISTERAN ACCOUNT EXECUTIVE. Current Status: Final Resolution: Decision Resolution Date: 01/01/1981 Sanctions Ordered: Other Sanctions: PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. WAS REPREMANDED BY THE COMMISSIONER OF SECURITIES, STATE OF GEORGIA. Resolution Details: SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS REPRIMANDED. Summary: IN JANUARY 1981, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS REPRIMANDED BY THE COMMISSIONER OF SECURITIES FOR THE STATE OF GEORGIA. ****** REGULATORY ACTION (119 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD - BUSINESS CONDUCT COMMITTEE - DISTRICT NO. 5. Date initiated: 06/01/1991 Docket/ Case Number: COMPLAINT NO. NEW-803 Allegations: ALLEGED VIOLATIONS OF ARTICLE III, SECTIONS 1 & 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE IN THAT PREDECESSOR FIRM SHEARSON LEHAM HUTTON INC., ACTING THROUGH ITS BRANCH MANAGER, FAILED TO REASONABLY AND PROPERLY SUPERVISE A FINANCIAL CONSULTANT IN CONNECTION WITH THIRTEEN CLIENTS. Current Status: Final Resolution: Settled Resolution Date: 06/17/1991 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Other Sanctions: BRANCH MANAGER CENSURED AND FINED $2,500.00. Resolution Details: ON JUNE 17, 1991, THE FIRM CONSENTED TO THE IMPOSITIONOF A CENSURE AND A $10,000.00 FINE. THE BRANCH MANAGER CENSURED AND FINED $2,500.00. NASD BrokerCheck October 14, 2005 Page 126 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: PER AN OFFER OF SETTLEMENT, PREDECESSOR FIRM SHEARSON LEHMAN HUTTON INC. CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A CENSURE AND A $10,000.00 FINE. THE BRANCH MANAGER WAS CENSURED AND FINED $2,500.00. ****** REGULATORY ACTION (120 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF RHODE ISLAND Date initiated: 03/08/1996 Docket/ Case Number: N/A Allegations: ALLEGATION THAT THE FIRM EMPLOYED AN INVESTMENT ADVISOR IN THE STATE WHO WAS NOT LICENSED AS SUCH. Current Status: Final Resolution: Consent Resolution Date: 03/08/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Other Sanctions: THE INDIVIDUAL WAS REGISTERED. Resolution Details: SMITH BARNEY REGISTERED THE INDIVIDUAL AND PAID A $1,000.00 FINE. Summary: THE FIRM ENTERED INTO AN CONSENT AGREEMENT, REGISTERED THE INDIVIDUAL AND PAID A $1,000.00 FINE. ****** REGULATORY ACTION (121 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD - MARKET SURVEILLANCE COMMITTEE Date initiated: 03/04/1988 Docket/ Case Number: AWC ACTION NO. MS-316 AWC(A) Allegations: ALLEGED VIOLATIONS OF THE NATIONAL MARKET SYSTEM WHEREBY SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO REPORT IN A TIMELY MANNER CERTAIN TRANSACTIONS DURING THE PERIOD DECEMBER 1, 1985 THROUGH JANUARY 31, 1986. Current Status: Final Resolution: Settled Resolution Date: 03/18/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: NASD APPROVED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO A FINE IN THE AMOUNT OF $2,000.00. Summary: A FINE IN THE AMOUNT OF $2,000.00 WAS PAID BY SMITH BARNEY, HARRIS UPHAM & CO. INC. ****** REGULATORY ACTION (122 of 263) ****** NASD BrokerCheck October 14, 2005 Page 127 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/30/2003 Initiated By: NASD REGULATION, INC. Date initiated: 02/25/1999 Docket/ Case Number: AWC MRD199809323 Allegations: ALLEGATION OF A VIOLATION OF NASD CONDUCT RULE 3360 IN THAT THE FIRM'S NOVEMBER 1998 SHORT-INTEREST POSITION REPORT CONTAINED ONE POSITION IN WHICH THE FIRM REPORTED AN INACCURATE SHORT-INTEREST FIGURE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/31/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $4,000.00 Resolution Details: FINE IN THE AMOUNT OF $4,000.00. Summary: SALOMON SMITH BARNEY SIGNED AN AWC IN WHICH IT NEITHER ADMITTED NOR DENIED THE ALLEGATIONS AND CONSENTED TO THE IMPOSITION BY THE NASD OF A FINE IN THE AMOUNT OF $4,000.00. ****** REGULATORY ACTION (123 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/09/2003 Initiated By: PUERTO RICO COMMISSION OF FINANCIAL INSTITUTIONS Date initiated: 05/20/1999 Docket/ Case Number: N/A Allegations: ALLEGATION THAT THE FIRM FAILED TO TIMELY COMPLY WITH AN ORDER FOR THE PRODUCTION OF DOCUMENTS. Current Status: Final Resolution: Other Resolution Date: 05/20/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: FINE IN THE AMOUNT OF $1,000.00 PLUS $200 FOR EACH DAY THEREAFTER THA THE DOCUMENT PRODUCTION WAS OUTSTANDING. Summary: ON MAY 20, 1999 THE COMMISSION ISSUED AN EX PARTE ORDER IMPOSING A FINE OF $1,000 PLUS $200 FOR EACH DAY THEREAFTER THAT THE DOCUMENT PRODUCTION WAS OUTSTANDING. FILES DESTROYED ON 09/11/2001. ****** REGULATORY ACTION (124 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 03/22/1995 Docket/ NASD BrokerCheck October 14, 2005 Page 128 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Case Number: CMS950012 Allegations: ALLEGATION THAT PREDECESSOR FIRM SALOMON BROTHERS INC VIOLATED SEC RULE 10B-61 WITH RESPECT TO CONDUCT AS A PASSIVE MARKET MAKER AND FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO PREVENT SUCH VIOLATIONS. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 08/15/1995 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution Details: ON AUGUST 15, 1995 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO FINDINGS OF FOUR VIOLATIONS OF SEC RULE 10B-61, AGREED TO A CENSURE AND PAID A FINE IN THE AMOUNT $1,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SALOMON BROTHERS INC. CONSENTED ON AUGUST 15, 1994 TO FINDINGS OF FOUR VIOLATIONS OF SEC RULE 10B-61 AND AGREED TO A CENSURE AND A FINE OF $1,000.00. ****** REGULATORY ACTION (125 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE Date initiated: 06/09/1994 Docket/ Case Number: 94-MSR-05 Allegations: ALLEGATION THAT PREDECESSOR FIRM SALOMON BROTHERS INC VIOLATED CHICAGO BOARD OF TRADE ("CBOT") REGULATION 444.01 FOR ALLEGED FAILURE TO EXECUTE AN EFP TRANSACTION IN WHICH THE NUMBER OF FUTURES EXCHANGED FOR CASH WERE NOT EQUIVALENT AND CBOT REGULATION 545.02 FOR ALLEGED FAILURE TO KEEP ACCURATE BOOKS AND RECORDS Current Status: Final Resolution: Settled Resolution Date: 09/02/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: ON SEPTEMBER 2, 1994 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND PAID A FINE IN THE AMOUNT OF $5,000.00. Summary: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, PREDECESSOR FIRM SALOMON BROTHERS SETTLED THE MATTER ON SEPTEMBER 2, 1994 AND AGREED TO PAY A FINE IN THE AMOUNT OF $5,000.00. THE CHICAGO BOARD OF TRADE DISMISSED VIOLATION OF REGULATION 545.02. ****** REGULATORY ACTION (126 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 04/10/1995 Docket/ Case Number: CMS940119 NASD BrokerCheck October 14, 2005 Page 129 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: ALLEGED VIOLATION BY PREDECESSOR FIRM SALOMON BROTHERS INC OF PART V, SECTION 2(B) OF SCHEDULE D TO THE NASDAQ'S BY-LAWS AND ARTICLE III, SECTIONS 1 AND 6 OF NASD'S RULES OF FAIR PRACTICE AS WELL AS SEC RULE 11AC1-1(C) FOR ALLEGED FAILURE TO HONOR QUOTATIONS DISSEMINATED THROUGH THE NASDAQ SYSTEM. Current Status: Final Resolution: Settled Resolution Date: 04/10/1995 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution Details: ON APRIL 10, 1995 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER, CONSENTED TO CENSURE BY THE NASD AND PAID A FINE IN THE AMOUNT OF $1,000.00. Summary: ON APRIL 10, 1995 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS AND CONSENTED TO A CENSURE BY THE NASD AND A FINE IN THE AMOUNT OF $1,000.00. ****** REGULATORY ACTION (127 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: WYOMING SECRETARY OF STATE Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (128 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: WEST VIRGINIA SECURITIES DIVISION NASD BrokerCheck October 14, 2005 Page 130 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 01/07/1993 Docket/ Case Number: CASE NO. 92-134 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/91]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (129 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES DIVISION, WASHINGTON DEPARTMENT OF LICENSING Date initiated: 01/07/1993 Docket/ Case Number: CASE NO. 92-12-0069 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF NASD BrokerCheck October 14, 2005 Page 131 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (130 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: ALASKA DIVISION OF BANKING, SECURITIES AND CORPORATIONS Date initiated: 02/22/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 02/22/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Resolution Details: ON FEBRUARY 22, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON FEBRUARY 22, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (131 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMISSIONER OF SECURITIES OF THE STATE OF GEORGIA Date initiated: 01/07/1993 Docket/ Case Number: FILE NO. 9200225 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND NASD BrokerCheck October 14, 2005 Page 132 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBTUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (132 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: LOUISIANA COMMISSIONER OF SECURITIES Date initiated: 01/14/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/14/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 14, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 14, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (133 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MONTANA STATE AUDITOR'S OFFICE, SECURITIES DEPARTMENT Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. NASD BrokerCheck October 14, 2005 Page 133 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (134 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (135 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VIRGINIA STATE CORPORATION DIVISION NASD BrokerCheck October 14, 2005 Page 134 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (136 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VERMONT DEPARTMENT OF BANKING, INSURANCE AND SECURITIES Date initiated: 01/07/1993 Docket/ Case Number: DOCKET NO. 92-053-S Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS NASD BrokerCheck October 14, 2005 Page 135 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (137 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: UTAH DIVISION OF SECURITIES Date initiated: 01/07/1993 Docket/ Case Number: UDS FILE NO. 920030 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (138 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: TEXAS STATE SECURITIES BOARD Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 14, 2005 Page 136 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (139 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: TENNESSEE SECURITIES DIVISION Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (140 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SOUTH DAKOTA DIVISION OF SECURITIES Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE NASD BrokerCheck October 14, 2005 Page 137 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMNBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (141 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: OFFICE OF SECRETARY OF STATE - STATE OF SOUTH CAROLINA Date initiated: 01/07/1993 Docket/ Case Number: PROCEEDING NO. 91-51 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (142 of 263) ****** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 14, 2005 Page 138 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date Reported: Initiated By: PENNSYLVANIA SECURITIES COMMISSION Date initiated: 01/07/1993 Docket/ Case Number: ADM. PROCEEDING NO. 12-22-92-07 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92}) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND $50,000.00 TO THE MULTI-STATE INVETOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT OF INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,00 TO THE MULTI-STATE UNVESTOR ORIT4CTUIB ADT, ****** REGULATORY ACTION (143 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: OREGON DEPARTMENT OF INSURANCE AND FINANCE Date initiated: 01/07/1993 Docket/ Case Number: 0-92-0052 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS NASD BrokerCheck October 14, 2005 Page 139 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (144 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: OKLAHOMA DEPARTMENT OF SECURITIES Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (145 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NORTH DAKOTA SECURITIES COMMISSIONER Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 14, 2005 Page 140 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FIND. ****** REGULATORY ACTION (146 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NORTH CAROLINA SECURITIES DIVISION Date initiated: 01/07/1993 Docket/ Case Number: FILE NO. 92-114-1G Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/91]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (147 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW MEXICO SECURITIES DIVISION Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE NASD BrokerCheck October 14, 2005 Page 141 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBTUION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (148 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW JERSEY BUREAU OF SECURITIES Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 COV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (149 of 263) ****** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 14, 2005 Page 142 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date Reported: Initiated By: NEW HAMPSHIRE DEPT. OF STATE, BUREAU OF SECURITIES REGULATION Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $5,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (150 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES DIV. - OFFICE OF SECRETARY OF STATE - STATE OF NEVADA Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 NASD BrokerCheck October 14, 2005 Page 143 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (151 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEBRASKA DEPARTMENT OF BANKING AND FINANCE Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (152 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MISSOURI SECURITIES DIVISION Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent NASD BrokerCheck October 14, 2005 Page 144 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (153 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECRETARY OF STATE OF THE STATE OF MISSISSIPPI Date initiated: 01/07/1993 Docket/ Case Number: ADMIN. PROCEEDING NO. 92-12-04 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7,L 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERTED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (154 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MINNESOTA COMMISSIONER OF COMMERCE Date initiated: 01/07/1993 Docket/ Case Number: N/A NASD BrokerCheck October 14, 2005 Page 145 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (155 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MICHIGAN DEPT. OF COMMERCE, CORPORATION AND SECURITIES BUREAU Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. NASD BrokerCheck October 14, 2005 Page 146 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (156 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MASSACHUSETTS SECURITIES DIVISION Date initiated: 01/07/1993 Docket/ Case Number: NO. E-91-152 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (157 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MARYLAND DIVISION OF SECURITIES Date initiated: 01/07/1993 Docket/ Case Number: NO. S-01-084 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS NASD BrokerCheck October 14, 2005 Page 147 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,L000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (158 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MAINE BUREAU OF BANKING, SECURITIES DIVISION Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (159 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: KENTUCKY DIRECTOR OF DIVISION OF SECURITIES Date initiated: 01/07/1993 Docket/ Case Number: PROCEEDING NO. 93-1 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent NASD BrokerCheck October 14, 2005 Page 148 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (160 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 06/27/1996 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SALOMON BROTHERS INC FAILED TO TIMELY FILE A G-37 REPORT WITH THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") FOR THE PERIOD OCTOBER 1, 1994 THROUGH DECEMBER 31, 1994 IN VIOLATION OF MSRB RULES G-37(E)(1) AND G-27(C), THEREBY VIOLATING ART. III SECTION 1 OF THE NASD'S RULES OF FAIR PRACTICE. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/27/1996 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: ON JUNE 27, 1996 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO FINDINGS THAT IT FAILED TO TIMELY FILE A FORM G-37 REPORT WITH THE MUNICIPAL SECURITIES RULEMAKING BOARD. THE FIRM WAS CENSURED BY THE NASD AND PAID A FINE IN THE AMOUNT OF $5,000.00 Summary: ON JUNE 27, 1996, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO FINDINGS THAT IT FAILED TO TIMELY FILE A G-37 REPORT WITH THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") IN VIOLATION OF MSRB RULES G-37(E)(I) AND G-27(C) AND ART. III SECTION 1 OF THE NASD'S RULES OF FAIR PRACTICE. THE FIRM WAS CENSURED AND FINED $5,000.00. ****** REGULATORY ACTION (161 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: KANSAS SECURITIES COMMISSIONER Date initiated: 01/07/1993 Docket/ Case Number: DOCKET NO. 93E036 NASD BrokerCheck October 14, 2005 Page 149 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND. Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (162 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SUPERINTENDANT OF SECURITIES OF IOWA INSURANCE DIVISION Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/91]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. NASD BrokerCheck October 14, 2005 Page 150 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (163 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: INDIANA SECURITIES DIVISION Date initiated: 01/07/1993 Docket/ Case Number: DOCKET NO. 93E036 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND. Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTIION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (164 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECRETARY OF STATE, ILLINOIS SECURITIES DEPARTMENT Date initiated: 01/07/1993 Docket/ Case Number: C92-09-146 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution NASD BrokerCheck October 14, 2005 Page 151 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (165 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS Date initiated: 01/07/1993 Docket/ Case Number: CASE NO. 920215CA Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (166 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: PUBLIC SERVICE COMMISSION OF THE DISTRICT OF COLOMBIA Date initiated: 01/07/1993 Docket/ Case Number: CASE NO. 50920196 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S DISTRICT OF COLOMBIA BROKER-DEALER REGISTRATION. Current Status: Final NASD BrokerCheck October 14, 2005 Page 152 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE THE DISTRICT OF COLOMBIA $50,000.00 FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 TO THE DISTRICT OF COLOMBIA AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (167 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: DELAWARE DEPARTMENT OF JUSTICE, SECURITIES DIVISION Date initiated: 01/07/1993 Docket/ Case Number: CASE NO. 92-12-02 Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND. Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (168 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COLORADO DIVISION OF SECURITIES NASD BrokerCheck October 14, 2005 Page 153 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 01/07/1993 Docket/ Case Number: FILE NO. X-1265(L) Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/91]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND. Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (169 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: ARKANSAS SECURITIES DEPARTMENT Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,00.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF NASD BrokerCheck October 14, 2005 Page 154 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (170 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 01/07/1993 Docket/ Case Number: N/A Allegations: MULTI-STATE COORDINATED INVESTIGATION OF WHETHER CERTAIN ACTIVITIES OF PREDECESSOR FIRM SALOMON BROTHERS INC AS DESCRIBED IN THE COMPLAINT IN SECURITIES AND EXCHANGE COMMISSION V. SALOMON INC AND SALOMON BROTHERS INC (92 CIV. 3691 AND SECURITIES EXCHANGE ACT RELEASE NO. 30721 [5/20/92]) CONSTITUTED GROUNDS FOR ACTION AGAINST THE FIRM'S STATE BROKER-DEALER REGISTRATION. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/07/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $2,000,000.00 CONTRIBUTION TO MULTI-STATE INVESTOR PROTECTION TRUST FUND. Resolution Details: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC CONSENTED TO REIMBURSE $50,000.00 TO THE STATE FOR THE COSTS OF THE INVESTIGATION AND MADE A CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. Summary: ON JANUARY 7, 1993 PREDECESSOR FIRM SALOMON BROTHERS INC, WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, ENTERED INTO A CONSENT AGREEMENT WHICH PROVIDED FOR PAYMENT OF $50,000.00 AS REIMBURSEMENT FOR INVESTIGATION COSTS AND CONTRIBUTION OF $2,000,000.00 TO THE MULTI-STATE INVESTOR PROTECTION TRUST FUND. ****** REGULATORY ACTION (171 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE Date initiated: 05/28/1997 Docket/ Case Number: 96-RRR-327 Allegations: ALLEGATION THAT PREDECESSOR FIRM SALOMON BROTHERS INC VIOLATED CHICAGO BOARD OF TRADE REGULATION 332.02 FOR FAILURE TO SUBMIT ONLY THE BRACKET INFORMATION SUBMITTED TO IT BY THE MEMBERS EXECUTING THE TRADES ON RECORD OF TRANSACTIONS SUBMITTED TO THE CLEARING HOUSE, AND REGULATION 332.08 FOR FAILURE TO MAKE ALL TRADE DATA SUBMISSIONS IN A CORRECT MANNER. Current Status: Final Resolution: Settled Resolution Date: 05/28/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 NASD BrokerCheck October 14, 2005 Page 155 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: ON MAY 28, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND PAID A FINE IN THE AMOUNT OF $500.00. Summary: ON MAY 28, 1997 PREDECESSOR FIRM SALOMON BROTHERS INC SETTLED THE MATTER AND WAS FINED BY THE CHICAGO BOARD OF TRADE THE SUM OF $500.00. ****** REGULATORY ACTION (172 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMEX CLEARING ASSOCIATION INC. Date initiated: 01/24/1986 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED VIOLATED RULES OF THE ASSOCIATION DUE TO FAILURE TO SUBMIT IN A TIMELY MANNER ITS VARIATION MARGIN CHECKS ON FIVE SEPARATE OCCASIONS BETWEEN MAY 16, 1985 AND DECEMBER 9, 1985. Current Status: Final Resolution: Settled Resolution Date: 02/10/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Resolution Details: ON OR ABOUT FEBRUARY 10, 1986 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER AND PAID A FINE OF $2,500.00. Summary: ON OR ABOUT FEBRUARY 10, 1986 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER AND CONSENTED TO A FINE OF $2,500.00. ****** REGULATORY ACTION (173 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: INDEPENDENT COUNSEL ACTING ON BEHALF OF THE U.S. Date initiated: 07/29/1997 Docket/ Case Number: IN RE: SECRETARY OF AGRICULTURE ESPY Allegations: ALLEGATION THAT SMITH BARNEY INC., THROUGH ONE OF ITS EMPLOYEES, COMMITTED A TORT AND VIOLATED 18 U.S.C. SECTIONS 209 AND 216(B) BY GIVING AN ILLEGAL GRATUITY. Current Status: Final Resolution: Settled Resolution Date: 07/29/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: CIVIL DAMAGES OF $1,000,000.00; UNDERTAKING TO: 1) ENHANCE THE FIRM'S IDENTIFICATION, DETECTION AND REPORTING OF ERRORS, IRREGULARITIES AND POSSIBLE ILLEGAL ACTS; 2) PROVIDE ENHANCED TRAINING TO EMPLOYEES REGARDING LAWS AND REGULATIONS PERTAINING TO GIVING OF GIFTS AND GRATUITIES TO GOVERNMENT OFFICIALS AND THE DOCUMENTATION AND PREPARATION OF EXPENSES; 3) HAVE THE FIRM'S COMPLIANCE DIRECTOR PROVIDE CERTAIN REPORTS NASD BrokerCheck October 14, 2005 Page 156 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) TO THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AND THE BOARD ITSELF. Resolution Details: ON JULY 29, 1997 SMITH BARNEY INC. AGREED TO SETTLE BY PAYING A CIVIL PENALTY TO THE U.S. OF $50,000.00 AND TO PAY $1,000,000.00 IN CIVIL DAMAGES. THE FIRM ENTERED INTO AN UNDERTAKING TO: 1) ENHANCE IDENTIFICATION, DETECTION AND REPORTING OF ERRORS, IRREGULARITIES AND POSSIBLE ILLEGAL ACTS; 2) PROVIDE ENHANCED TRAINING TO EMPLOYEES REGARDING LAWS AND REGULATIONS PERTAINING TO GIFTS AND GRATUITIES TO GOVERNMENT OFFICIALS AND THE DOCUMENTATION AND PREPARATION OF EXPENSES; 3) HAVE THE COMPLIANCE DIRECTOR PROVIDE CERTAIN REPORTS TO THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AND TO THE BOARD ITSELF. Summary: IN ORDER TO AVOID COSTLY AND EXTENDED LITIGATION, ON JULY 29, 1997 SMITH BARNEY INC. AGREED TO SETTLE THE MATTER BY PAYING A CIVIL PENALTY, CIVIL DAMAGES AND ENTERING INTO AN UNDERTAKING. ****** REGULATORY ACTION (174 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 03/01/1982 Docket/ Case Number: CFTC DOCKET NO. 82-R275 Allegations: ALLEGED FAILURE BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED TO ENTER A STOP-LOSS ORDER. Current Status: Final Resolution: Decision Resolution Date: 03/01/1982 Sanctions Ordered: Other Sanctions: REPARATIONS IN THE AMOUNT OF $532.50. Resolution Details: ON OR ABOUT MARCH 1, 1982 THE COMMODITY FUTURES TRADING COMMISSION HELD THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED HAD FAILED TO PROPERLY SUPERVISE A CUSTOMER'S ACCOUNT. THE FIRM PAID REPARATIONS IN THE AMOUNT OF $532.50 PLUS INTEREST AND FILING FEES. Summary: ON OR ABOUT MARCH 1, 1982 THE COMMODITY FUTURES TRADING COMMISSION HELD THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED HAD FAILED TO PROPERLY SUPERVISE A CUSTOMER'S ACCOUNT. ****** REGULATORY ACTION (175 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 07/16/1994 Docket/ Case Number: CFTC DOCKET NO. 84-R416 Allegations: ALLEGED VIOLATION OF THE COMMODITY EXCHANGE ACT Current Status: Final Resolution: Decision Resolution Date: 07/16/1994 Sanctions Ordered: NASD BrokerCheck October 14, 2005 Page 157 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Other Sanctions: REPARATION IN THE AMOUNT OF $662.07. Resolution Details: ON OR ABOUT JULY 16, 1994 THE COMMODITY FUTURES TRADING COMMISSION CONCLUDED THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED HAD VIOLATED THE COMMODITY EXCHANGE ACT AND AWARDED $662.07 TO A CUSTOMER OF THE FIRM. Summary: ON OR ABOUT JULY 16, 1994 THE COMMODITY FUTURES TRADING COMMISSION CONCLUDED THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. HAD VIOLATED THE COMMODITY EXCHANGE ACT. ****** REGULATORY ACTION (176 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 02/22/1982 Docket/ Case Number: DOCKET NO. 81-489-81-695 Allegations: ALLEGED VIOLATION BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED OF SECTION 4B(A) OF THE COMMODITY EXCHANGE ACT. Current Status: Final Resolution: Decision Resolution Date: 02/22/1982 Sanctions Ordered: Disgorgement/Restitution Resolution Details: ON OR ABOUT FEBRUARY 22, 1982 THE COMMODITY FUTURES TRADING COMMISSION FOUND THAT A VIOLATION OF SECTION 4B(A) OF THE COMMODITY EXCHANGE ACT HAD OCCURRED AND PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS PAID REPARATIONS IN THE AMOUNT OF $1,593.50 PLUS INTEREST AND FILING FEES. Summary: ON OR ABOUT FEBRUARY 22, 1982 THE COMMODITY FUTURES TRADING COMMISSION FOUND THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED HAD VIOLATED SECTION 4B(A) OF THE COMMODITY EXCHANGE ACT. ****** REGULATORY ACTION (177 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 12/09/1981 Docket/ Case Number: DOCKET NO. R82-83 BEER V. SBHU & CHEMAN Allegations: ALLEGATION THAT A REGISTERED INDIVIDUAL ENGAGED IN UNAUTHORIZED TRADES AND THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO PROPERLY SUPERVISE. Current Status: Final Resolution: Decision Resolution Date: 05/17/1983 Sanctions Ordered: Disgorgement/Restitution Resolution Details: ON MAY 17, 1983 THE COMMODITY FUTURES TRADING COMMMISSION ORDERED PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED AND A REGISTERED INDIVIDUAL TO PAY REPARATIONS IN THE AMOUNT OF $4,981.50 PLUS INTEREST AND FILING FEES. NASD BrokerCheck October 14, 2005 Page 158 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: ON MAY 17, 1983 THE COMMODITY FUTURES TRADING COMMISSION HELD THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED HAD VIOLATED ITS RESPONSIBILITY TO PROPERLY SUPERVISE AND THE FIRM AND A REGISTERED INDIVIDUAL WERE ORDERED TO PAY REPARATIONS IN THE AMOUNT OF $4,081.50 PLUS INTEREST AND FILING FEES. ****** REGULATORY ACTION (178 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO MERCANTILE EXCHANGE Date initiated: 09/23/1987 Docket/ Case Number: N/A Allegations: ALLEGATION OF VIOLATION OF THE CHICAGO MERCANTILE EXCHANGE'S POSITION LIMIT RULE. Current Status: Final Resolution: Settled Resolution Date: 10/06/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: ON OCTOBER 6, 1987 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS FINED $1,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER ON OCTOBER 6, 1987 AND WAS FINED $1,000.00. ****** REGULATORY ACTION (179 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK COFFEE, SUGAR & COCOA EXCHANGE Date initiated: 03/05/1982 Docket/ Case Number: N/A Allegations: ALLEGED FAILURE TO CALL FOR SUFFICIENT ORIGINAL MARGIN IN A COMMODITY TRADE Current Status: Final Resolution: Decision Resolution Date: 03/05/1982 Sanctions Ordered: Monetary/Fine Monetary Amount: $100.00 Resolution Details: ON MARCH 5, 1982 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CLOSED THIS MATTER BY STIPULATION AND CONSENT AND PAID A FINE OF $100.00. Summary: WITHOUT ADMITTING OR DENYING THE VIOLATION, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CLOSED THE MATTER ON MARCH 5, 1982 BY STIPULATION AND CONSENT AND PAID A FINE OF $100.00. NASD BrokerCheck October 14, 2005 Page 159 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (180 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 08/01/1986 Docket/ Case Number: AWC ACTION NO. MS-316 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED VIOLATED PART X, SECTION 2 OF SCHEDULE D OF THE NASD BY-LAWS BY REPORTING CERTAIN TRANSACTIONS INTO THE NASDAQ SYSTEM LATGE WITHOUT DESIGNATING THEM AS LATE. ADDITIONALLY, THE FIRM EXECUTED ONE TRANSACTION BEFORE THE MARKET HOURS AND FAILED TO REPORT THE TRANSACTION ON FORM T. Current Status: Final Resolution: Settled Resolution Date: 08/01/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: ON AUGUST 1, 1986 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. SETTLED THE MATTER AND PAID A FINE OF $500.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER AND PAID A FINE OF $500.00. ****** REGULATORY ACTION (181 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW JERSEY BUREAU OF SECURITIES Date initiated: 05/01/1978 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PERMITTED AN ACCOUNT EXECUTIVE OF THE NEWARK BRANCH OFFICE TO EFFECT TRANSACTIONS IN SECURITIES BETWEEN JANUARY AND MAY 1978 WHILE NOT PROPERLY REGISTERD IN NEW JERSEY. Current Status: Final Resolution: Consent Resolution Date: 05/01/1978 Sanctions Ordered: Monetary/Fine Monetary Amount: $200.00 Resolution Details: PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS ASSESSED A FINE OF $200.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED AGREED TO SETTLE THE MATTER IN MAY 1978 AND WAS ASSESSED A FINE OF $200.00. ****** REGULATORY ACTION (182 of 263) ****** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 14, 2005 Page 160 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date Reported: Initiated By: NEW YORK STATE ATTORNEY GENERAL Date initiated: 04/02/1969 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO KEEP CURRENT IN NEW YORK THE REGISTRATION OF CERTAIN REGISTERED REPRESENTATIVES. Current Status: Final Resolution: Consent Resolution Date: 04/02/1969 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: ON APRIL 2, 1969 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATEDWAS ASSESSES $1,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER AND WAS ASSESSED $1,000.00. ****** REGULATORY ACTION (183 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/30/2003 Initiated By: NASD REGULATION, INC. Date initiated: 06/17/1998 Docket/ Case Number: N/A Allegations: ALLEGED VIOLATIONS OF NASD CONDUCT RULE 3110; SEC RULE 10B-10 (SEC "QUOTE" RULE) AND EXCHANGE ACT RULES 11AC1-4 (SEC "DISPLAY" RULE), 17A-3 AND 17A-4 ("BOOKS AND RECORDS" RULE). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/28/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: ON 06/17/1998, SMITH BARNEY SIGNED AN AWC IN WHICH IT AGREED TO THE IMPOSITON BY THE NASDR OF A FINE OF $3000.00 FOR ALLEGED VIOLATIONS OF NASD CONDUCT RULES AND SEC DISPLAY RULES, FIRM QUOTE RULES AND BOOKS AND RECORDS RULES, WITHOUT ADMITTING OR DENYING ANY VIOLATIONS. Summary: ****** REGULATORY ACTION (184 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COFFEE, SUGAR & COCOA EXCHANGE, INC. - BUSINESS CONDUCT COMM, Date initiated: 04/28/1998 Docket/ Case Number: CASE NO. 1998-05 NASD BrokerCheck October 14, 2005 Page 161 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: ALLEGATION THAT SALOMON SMITH BARNEY INC. MAY HAVE FAILED TO PROPERLY FILL OUT ORDER TICKETS. Current Status: Final Resolution: Settled Resolution Date: 10/10/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $750.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SALOMON SMITH BARNEY INC. AGREED TO THE IMPOSITION OF A FINE IN THE AMOUNT OF $750.00. Summary: SALOMON SMITH BARNEY INC. AGREED TO THE IMPOSITION OF A FINE IN THE AMOUNT OF $750.00 FOR TWO POSSIBLE VIOLATIONS OF MEMBERSHIP RULE 1.12(C)(2). ****** REGULATORY ACTION (185 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE, INC. Date initiated: 09/30/1998 Docket/ Case Number: N/A Allegations: ALLEGATION OF LATE TRANSMISSION OF MARKET-ON-CLOSE ORDER. Current Status: Final Resolution: Settled Resolution Date: 10/26/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: PREDECESSOR FIRM SALOMON BROTHERS INC WAS FINED $5,000.00. Summary: ****** REGULATORY ACTION (186 of 263) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMISSIONER OF SECURITIES - STATE OF HAWAII Date initiated: 03/19/1999 Docket/ Case Number: CASE NO. SEU-98-020 Allegations: ALLEGATION THAT THE FIRM VIOLATED CERTAIN PROVISIONS OF THE HAWAII REVISED STATUTES IN CONNECTION WITH THE SALE OF SECURITIES DUE TO THE FACT THAT AN EMPLOYEE TRANSACTED BUSINESS IN HAWAII AS A SECURITIES SALESPERSON BEFORE BEING REGISTERED AS A SECURITIES SALESPERSON IN THE STATE. IT WAS FURTHER ALLEGED THAT THE FIRM FAILED TO REASONABLY SUPERVISE ITS EMPLYEE. Current Status: Final Resolution: Settled Resolution Date: 03/19/1999 NASD BrokerCheck October 14, 2005 Page 162 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: THE FIRM ENTERED INTO A CONSENT AGREEMENT IN WHICH IT AGREED TO PAY A CIVIL PENALTY OF $1,500.00. Summary: ON MARCH 19, 1999 THE FIRM ENTERED INTO A CONSENT AGREEMENT IN WHICH IT AGREED TO PAY A CIVIL PENALTY OF $1,500.00. ****** REGULATORY ACTION (187 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/11/2000 Initiated By: THE NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 11/10/1999 Docket/ Case Number: C07990074 Allegations: 11/29/99GS: ON NOVEMBER 10, 1999, DISTRICT NO. 7 NOTIFIED RESPONDENT MEMBER THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED (NASD RULE 2110 AND IM-2110-1 - IN CONNECTION WITH NEW STOCK ISSUES, RESPONDENT MEMBER FAILED TO OBTAIN IN WRITING REQUIRED INFORMATION CONCERNING THE BENEFICIAL OWNERS OF INVESTMENT PARTNERSHIP ACCOUNTS, CORPORATE ACCOUNTS, OR MONEY MANAGER ACCOUNTS, AND EIGHT SALES TO FOREIGN BANKS OR BROKER/DEALERS). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/10/1999 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Other Sanctions: 04/11/2000GS: $7,500 PAID ON 12/13/99 - INVOICE NO. 99-07-948. Resolution Details: SEE ABOVE Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/22/2004 Initiated By: NASDR Date initiated: 11/10/1999 Docket/ Case Number: C07990074 Allegations: ALLEGATION THAT SALOMON SMITH BARNEY INC. VIOLATED NASD CONDUCT RULE IM-2110-1 BECAUSE ALLOCATION OF NEW ISSUES WERE MADE TO INVESTMENT PARTNERSHIPS OR CORPORATIONS WITHOUT OBTAINING PRE-ALLOCATION DOCUMENTATION OF THE ACCOUNTS' NON-RESTRICTED STATUS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/10/1999 Sanctions Ordered: Censure Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE. Summary: AWC SUBMITTED ON AUGUST 20, 1999. FILES DESTROYED ON NASD BrokerCheck October 14, 2005 Page 163 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) 09/11/2001. ****** REGULATORY ACTION (188 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/06/2000 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/01/1999 Docket/ Case Number: CMS990109 Allegations: 10/12/1999BR: RESPONDENT: IN SUBMITTING ITS SHORT INTEREST POSITION REPORT TO NASD, STATED THAT IT HAD A SHORT INTEREST POSITION IN SYNETIC OF 3,064,400 SHARES, WHEN THE ACTUAL SHORT INTEREST POSITION IN SYNETIC WAS 64,400 SHARES. (NASD CONDUCT RULE 3360.) Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/01/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $4,000.00 Other Sanctions: NONE Resolution Details: FINE OF $4,000.00 Summary: 04-06-00, $4,000 PAID 10/28/99, INVOICE #99-MS-862 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. Date initiated: 09/01/1999 Docket/ Case Number: CMS990109 AWC Allegations: ALLEGED VIOLATION OF NASD CONDUCT RULE 3360 IN THAT SALOMON SMITH BARNEY INC. SUBMITTED A SHORT-INTEREST REPORT FOR SYNETIC, INC. OF 3,064,000 SHARES INSTEAD OF 64,000 SHARES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/01/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $4,000.00 Resolution Details: A FINE IN THE AMOUNT OF $4,000.00 WAS PAID ON OCTOBER 26, 1999. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SALOMON SMITH BARNEY INC. ACCEPTED AN AWC ON SEPTEMBER 1, 1999 AND PAID A FINE OF $4,000.00. ****** REGULATORY ACTION (189 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/11/2000 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD BrokerCheck October 14, 2005 Page 164 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 07/26/1999 Docket/ Case Number: CMS990087 Allegations: RESPONDENT MEMBER FAILED TO EXECUTE ORDERS AND THEREBY FAILED TO HONOR ITS PUBLISHED QUOTATION. (SEC AND NASD FIRM QUOTE RULES) Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/26/1999 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: $7,500 FINE; CENSURE Summary: 02-11-00,$7,500 PAID ON 8/30/99, INVOICE #99-MS-709 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/08/2004 Initiated By: NASD REGULATION, INC. Date initiated: 06/10/1999 Docket/ Case Number: CMS990087 AWC Allegations: ALLEGED VIOLATION OF EXCHANGE ACT RULE 11AC1-1 (SEC FIRM QUOTE RULE); NASD CONDUCT RULE 3320 AND NASD MARKETPLACE RULE 4613(B) ("NASD FIRM QUOTE RULES"). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/10/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,500.00 Resolution Details: ON JUNE 10, 1999, THE FIRM SIGNED AN AWC IN WHICH IT AGREED TO THE IMPOSITION BY THE NASDR OF A CENSURE AND A $7,500.00 FINE. THE FINE WAS PAID ON AUGUST 25, 1999. Summary: WITHOUT ADMITTING OR DENYING ANY VIOLATIONS, THE FIRM ON JUNE 10, 1999 SIGNED AN AWC IN WHICH IT AGREED TO THE IMPOSITION BY THE NASDR OF A CENSURE AND A $7,500.00 FINE FOR ALLEGED VIOLATIONS OF THE SEC AND NASD FIRM QUOTE RULES. ****** REGULATORY ACTION (190 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/15/1998 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/15/1998 Docket/ Case Number: CMS980107 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/15/1998 NASD BrokerCheck October 14, 2005 Page 165 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $17,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS980107 AWC. ON DECEMBER 15, 1998, SMITH BARNEY, INC. (SBSH) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WAS ACCEPTED BY THE NASD REGULATION, INC.'S DEPARTMENT OF ENFORCEMENT AND THE NATIONAL ADJUDICATORY COUNCIL. THE AWC ALLEGES THAT THE FOLLOWING VIOLATIONS OCCURRED: SBSH FAILED TO REPORT TO ACT THE CORRECT NUMBER OF SHARES FOR ONE TRANSACTION IN A NASDAQ NATIONAL MARKET SECURITY AND FAILED TO REPORT TO ACT 11 TRANSACTIONS IN NASDAQ NATIONAL MARKET SECURITIES. THIS CONDUCT CONSTITUTES VIOLATIONS OF NASD MARKETPLACE RULES 4632 AND 4332(d). SBSH FAILED TO REPORT TO ACT THE CORRECT SYMBOL INDICATING WHETHER 99 TRANSACTIONS IN ELIGIBLE SECURITIES WERE EXECUTED IN THE CAPACITY OF PRINCIPAL OR AGENT AND FAILED TO REPORT TO ACT THE CONTRA SIDE EXECUTING BROKER FOR 41 TRANSACTIONS IN ELIGIBLE SECURITIES. THIS CONDUCT CONSTITUTES SEPARATE AND DISTINCT VIOLATIONS OF NASD MARKETPLACE RULE 6130(d). SBSH FAILED TO PRESERVE FOR A PERIOD OF NOT LESS THAN THREE YEARS THE MEMORANDA OF TWO BROKERAGE ORDERS, FAILED TO SHOW THE CORRECT TIME OF EXECUTION ON THE MEMORANDA OF SIX BROKERAGE ORDERS, AND THE TIME OF EXECUTION ON THE MEMORANDA OF TWO BROKERAGE ORDERS. THIS CONDUCT CONSTITUTES SEPARATE AND DISTINCT VIOLATIONS OF SEC RULES 17a-3, 17a-4 AND NASD CONDUCT RULE 3110(a). SBSH FAILED TO CONTEMPORANEOUSLY EXECUTE EIGHT CUSTOMER LIMIT ORDERS AFTER IT EXECUTED TRANSACTIONS FOR ITS OWN MARKET MAKING ACCOUNT. THIS CONDUCT CONSTITUTES A VIOLATION OF NASD CONDUCT RULE 2110 AND IM-2110-2. SBSH FAILED TO ESTABLISH AND MAINTAIN ADEQUATE WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE SECURITIES LAWS, REGULATIONS, AND RULES REGARDING TRADE REPORTING AND RECORD KEEPING. THIS CONDUCT CONSTITUTES A VIOLATION OF NASD CONDUCT RULES 2110 AND 3010. SBSH WAS CENSURED AND FINED $17,000. ****** $17,000 PAID ON 2/16/99 *See FAQ #1* *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. Date initiated: 12/15/1998 Docket/ Case Number: CMS980107 AWC Allegations: LETTER OF ACCEPTANCE, WAIVER AND CONSENT ALLEGING VIOLATIONS OF NASD MARKETPLACE RULES 3110(A), 4632, 4632(D) AND 6130(D); NASD CONDUCT RULES 2110, IM2110-2 AND 3010; SEC RULES 17A-3 AND 17A-4. Current Status: Final Resolution: Settled Resolution Date: 12/15/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $17,000.00 Resolution Details: SALOMON SMITH BARNEY INC. CONSENTD TO A FINE IN THE AMOUNT OF $17,000.00. Summary: SALOMON SMITH BARNEY INC. CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A FINE IN THE AMOUNT OF $17,000.00. ****** REGULATORY ACTION (191 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/28/1998 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD BrokerCheck October 14, 2005 Page 166 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 08/28/1998 Docket/ Case Number: Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/28/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS980078 AWC. ON AUGUST 28, 1998, SALOMON SMITH BARNEY, INC. (SBSH) (F.K.A. SMITH BARNEY INC.) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY NASD REGULATION, INC.'S DEPARTMENT OF ENFORCEMENT AND THE NATIONAL ADJUDICATORY COUNCIL. THE AWC ALLEGES THAT THE FOLLOWING ACTIVITY OCCURRED: ON THREE OCCASIONS WHEN IT ACTED AS PRINCIPAL FOR ITS OWN ACCOUNT, SBSH FAILED TO PROVIDE WRITTEN NOTIFICATION TO THE CUSTOMER THAT THE PRICE TO THE CUSTOMER WAS AN AVERAGE OF THE TRADE PRICES REPORTED BY SBSH TO ACT. THIS CONDUCT CONSTITUTES SEPARATE AND DISTINCT VIOLATIONS OF SEC RULE 10b-10. SBSH FAILED TO DOCUMENT THE CORRECT TIME OF ORDER ENTRY AND THE TIME OF EXECUTION ON THE MEMORANDUM OF ONE BROKERAGE ORDER; FAILED TO DOCUMENT THE TERMS AND CONDITIONS OF THE ORDER BY NOT INDICATING THAT THE ORDER WAS "MARKET NOT HELD" IN SEVEN INSTANCES; FAILED TO DOCUMENT THE TIME OF THE ORDER ENTRY ON THE ORDER TICKET IN ONE INSTANCE; AND FAILED TO DOCUMENT THE CORRECT EXECUTION PRICE ON THE ORDER TICKET IN ONE INSTANCE. THIS CONDUCT CONSTITUTES SEPARATE AND DISTINCT VIOLATIONS OF SEC RULES 17a-3 AND 17a-4 AND NASD CONDUCT RULE 3110. SBSH FAILED TO DISPLAY IMMEDIATELY FOUR CUSTOMER LIMIT ORDERS, WHEN THE ORDERS WERE AT A PRICE THAT WOULD HAVE IMPROVED SBSH'S BID OR OFFER IN EACH SECURITY RELATED TO THOSE ORDERS, OR WHEN THE FULL SIZE OF THE ORDERS WERE PRICED EQUAL TO SBSH'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER, AND THE ORDERS REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH SBSH's BID OR OFFER IN EACH SECURITY. THIS CONDUCT CONSTITUTES SEPARATE AND DISTINCT VIOLATIONS OF SEC RULE 11Ac1-4. SBSH WAS FINED $3,000. ******* $3,000 PAID ON 10/7/98, INVOICE NO. 98-MS-799 ***** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. Date initiated: 08/28/1998 Docket/ Case Number: CMS 980078 AWC Allegations: ALLEGED VIOLATIONS OF NASD CONDUCT RULE 3110, SEC RULE 10B-10 (SEC "QUOTE RULE") AND EXCHANGE ACT RULES 11AC1-4 (SEC "DISPLAY RULE"), 17A-3 AND 17A-4)"BOOKS AND RECORDS" RULE). Current Status: Final Resolution: Settled Resolution Date: 08/28/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: TOTAL AMOUNT EQUALS $3,000.00. Summary: SALOMON SMITH BARNEY CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A FINE IN THE AMOUNT OF $3,000.00. NASD BrokerCheck October 14, 2005 Page 167 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (192 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/25/1985 Initiated By: PENNSYLVANIA Date initiated: 07/25/1985 Docket/ Case Number: 8502-9 Allegations: Current Status: Pending Summary: FORM U-6 RECEIVED 7/29/85 DISCLOSES; PA HAS ISSUED AN ORDER TO SHOW CAUSE AGAINST SMITH BARNEY, HARRIS UPHAM & CO., INC., AND THOMAS F. VENTRESCA ALLEGING WILLFUL VIOLATIONS OF THE AGENT REGISTRATION PROVISIONS OF THE PENNSYLVANIA SECURITIES ACT OF 1972, THE SALE OF UNREGISTERED SECURITIES AND MAKING A FALSE FILING WITH THE COMMISSION. CASE NO. 8502-9. ****** REGULATORY ACTION (193 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/24/1980 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/24/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 10/24/1980 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: Summary: ASE - WEEKLY BULLETIN DATED 10/24/80 - SETTLED THE CHARGES WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. FINED $5,000.******ON JANUARY 30, 1980, SBHU WAS OFFICIALLY NOTIFIED THAT THE AMEX DISCIPLINARY PANEL AND BOARD OF GOVERNORS HAD APPROVED THE SETTLEMENT. THE PANEL TOOK PAINS TO POINT OUT THAT ANY WRONGDOING WAS ON THE PART OF HARRIS AND UPHAM AND THAT SBHU WAS BEING HELD RESPONSIBLE FOR THE ACTS OF THE ACQUIRED ENTITY. IN ADDITION, ON JUNE 6, 1979, A FLORIDA STATE COURT AWARDED SBHU A JUDGMENT IN THE AMOUNT OF $110,000 AGAINST THE CUSTOMER WHOSE ACCOUNT WAS THE SUBJECT OF THE ABOVE PROCEEDING. (FORM BD: JD 03186, SEQUENCE NO 11439). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/29/1981 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED'S RESEARCH DEPT. HAD CHANGED ITS RECOMMENDATION ON A STOCK AND THAT, PRIOR TO DISSEMINATION TO THE FIRM'S CUSTOMERS OF A WRITTEN RECOMMENDATION, THE TRADING DESK PURCHASED OPTIONS ON THAT STOCK AND SEVERAL ACCOUNT NASD BrokerCheck October 14, 2005 Page 168 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) EXECUTIVES PURCHASED THOSE OPTIONS FOR THEIR PERSONAL ACCOUNTS. Current Status: Final Resolution: Decision Resolution Date: 10/29/1981 Sanctions Ordered: Censure Resolution Details: ON OR ABOUT OCTOBER 29, 1981 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS CENSURED. Summary: ON OR ABOUT OCTOBER 29, 1981 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS CENSURED. ****** REGULATORY ACTION (194 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/24/1979 Initiated By: FLORIDA Date initiated: 05/24/1979 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/24/1979 Sanctions Ordered: Censure Resolution Details: Summary: FLORIDA CRIMINAL ACTION REPORT 5/24/79 PAGE 69 DEALER CENSURE LETTER *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/23/2004 Initiated By: STATE OF FLORIDA Date initiated: 05/24/1979 Docket/ Case Number: Allegations: N/A - ALL FILES UNAVAILABLE DUE TO THE AGE OF THIS ITEM. Current Status: Final Resolution: Decision Resolution Date: 05/24/1979 Sanctions Ordered: Censure Resolution Details: CENSURE Summary: ALL INFORMATION HAS BEEN TRANSFERRED FROM FORM U-6 DATA PROVIDED BY THE CRD TO CGMI. CGMI HAS NO WAY TO INDEPENDENTLY VERIFY THE ACCURACY OF THE INFORMATION DUE TO THE AGE OF THIS MATTER. AT CRD'S REQUEST, CGMI IS FILING THE INFORMATION CONTAINED ON THE U-6 FOR THE FIRM. ****** REGULATORY ACTION (195 of 263) ****** NASD BrokerCheck October 14, 2005 Page 169 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 03/13/1979 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 03/13/1979 Docket/ Case Number: R 77-51 Allegations: Current Status: Final Resolution: Order Resolution Date: 03/13/1979 Sanctions Ordered: Resolution Details: Summary: CFTC DOCKET NO. R 77-51 3/13/79 ORDER DENYING REVIEW ****** REGULATORY ACTION (196 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/30/1962 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/16/1962 Docket/ Case Number: 81 Allegations: Current Status: Final Resolution: Decision Resolution Date: 08/03/1962 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250.00 Resolution Details: Summary: COMPLAINT #81, FILED 5-16-62. DECISION 7/31/62 - CENSURED AND FINED $250, ASSESSED COSTS $31.24. TO BE FINAL 8/3/62 CHECK FOR $281.24 RECEIVED RE MEMO 8/13/62 FINE & COSTS PAID RE MEMO 8/30/62 ****** REGULATORY ACTION (197 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/10/1978 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/01/1977 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision NASD BrokerCheck October 14, 2005 Page 170 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 05/10/1978 Sanctions Ordered: Censure Resolution Details: Summary: COMPLAINT FILED 9/77 ALLEGING UNAUTHORIZED TRADING AND FAILURE TO SUPERVISE, DECISION DATED 5/10/78 THE DBCC UPHLED CHARGES AGAINST REGISTERED REP GLENN LUTZ AND ORDERED HIM CENSURED AND SUSPENDED FROM ASSOCIATION WITH ANY MEMBER OF THE NASD IN ANY CAPACITY FOR ONE YEAR. SMITH BARNEY HARRIS UPHAM WAS CENSURED FOR FAILURE TO ADEQUATELY SUPERVISE THE REP'S ACTIVITY. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD - DISTRICT BUSINESS CONDUCT COMMITTEE Date initiated: 09/01/1977 Docket/ Case Number: N/A Allegations: ALLEGED FAILURE TO REASONABLY SUPERVISE BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED. Current Status: Final Resolution: Decision Resolution Date: 05/10/1978 Sanctions Ordered: Censure Resolution Details: ON MAY 10, 1977 THE NASD'S DISTRICT BUSINESS CONDUCT COMMITTEE CENSURED PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED. Summary: ON MAY 10, 1978 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS CENSURED BY THE NASD'S DISTRICT BUSINESS CONDUCT COMMITTEE. ****** REGULATORY ACTION (198 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/29/1981 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/29/1981 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 10/29/1981 Sanctions Ordered: Censure Resolution Details: Summary: ON OCT. 29,1981 THE AMEX PREFERRED CHARGES AGAINST SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED ("SBHU") ALLEGING THAT SBHU'S RESEARCH DEPT. HAD CHANGED ITS RECOMMENDATION ON A STOCK, AND THAT PRIOR TO THAT RECOMMENDATION'S WRITTEN DISSEMINATION TO SBHU'S CUSTOMERS, SBHU'S TRADING DESK HAD PURCHASED OPTIONS ON THAT STOCK AND SEVERAL OF SBHU'S ACCOUNT EXECS HAD PURCHASED THOSE OPTIONS FOR THEIR PERSONAL ACCOUNTS. SBHU WAS CHARGED WITH VIOLATIONS OF JUST AND EQUITABLE PRINCIPLES OF TRADE RESPECTING THE TRADING DESK TRANSACTIONS, NASD BrokerCheck October 14, 2005 Page 171 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) AND WITH FAILURE TO SUPERVISE RESPECTING THE CONDUCT OF ITS EMPLOYEES. AFTER A HEARING THE DISCIPLINARY PANEL UPHELD THE FORMER CHARGE AND DISMISSED THE LATTER AND ORDERED THAT SBHU BE CENSURED. THE DECISION WAS AFFIRMED ON APPEAL. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/29/1981 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED VIOLATED JUST AND EQUITABLE PRINCIPLES OF TRADE RESPECTING TRADING DESK TRANSACTIONS AS WELL AS FAILURE TO SUPERVISE. Current Status: Final Resolution: Decision Resolution Date: 10/29/1981 Sanctions Ordered: Censure Resolution Details: PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS CENSURED. Summary: THE DISCIPLINARY PANEL OF THE AMERICAN STOCK EXCHANGE UPHELD THE CHARGE OF VIOLATION OF JUST AND EQUITABLE PRINCIPLES OF TRADE AND DISMISSED THE CHARGE OF FAILURE TO SUPERVISE. ****** REGULATORY ACTION (199 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/26/1984 Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 01/26/1984 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 01/26/1984 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: Summary: ON JAN. 26, 1984 SMITH BARNEY HARRIS UPHAM WAS FINED $1,500 BY THE CBOE DUE TO A 1982 VIOLATION OF THAT EXCHANGE'S POSITION LIMIT RULE IN MERRILL LYNCH AND FEDERAL EXPRESS OPTIONS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 01/26/1984 Docket/ Case Number: N/A NASD BrokerCheck October 14, 2005 Page 172 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: ALLEGED VIOLATION BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED OF CHICAGO BOARD OPTIONS EXCHANGE POSITION LIMIT RULE Current Status: Final Resolution: Decision Resolution Date: 01/26/1984 Sanctions Ordered: Monetary Amount: $1,500.00 Resolution Details: THE MATTER WAS RESOLVED ON JANUARY 26, 1984 AND PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PAID A FINE OF $1,500.00 Summary: THE MATTER WAS RESOLVED BY DECISION ON JANUARY 26, 1984 AND PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS FINED $1,500.00 ****** REGULATORY ACTION (200 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/28/1985 Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 05/02/1984 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 06/28/1985 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: Summary: ON MAY 2, 1984 A STATEMENT OF CHARGES WAS ISSUED BY THE CBOE ARISING OUT OF TRANSACTIONS BY FORMER TRADER STEVEN MARKOWITZ. ON JUNE 28, 1985 SMITH BARNEY ENTERED INTO AN AGREEMENT WITH THE CBOE NEITHER ADMITTING OR DENYING VIOLATION OF EXCHANGE RULE 4.1 AND CONSENTING TO A FINE OF $5,000. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 05/02/1984 Docket/ Case Number: N/A Allegations: ALLEGED VIOLATION BY PREDECESSOR SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED OF CBOE RULE 4.1. Current Status: Final Resolution: Settled Resolution Date: 06/28/1986 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 14, 2005 Page 173 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $5,000.00 Resolution Details: SMITH BARNEY, HARRIS UPHAM & CO. ENTERED INTO AN AGREEMENT WITH THE CHICAGO BOARD OPTIONS EXCHANGE NEITHER ADMITTING NOR DENYING VIOLATION OF EXCHANGE RULE 4.1 AND CONSTNED TO A FINE OF $5,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM, ON OR ABOUT JUNE 28, 1985, AGREED TO A FINE OF $5,000.00. ****** REGULATORY ACTION (201 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/15/2000 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 01/11/1999 Docket/ Case Number: Allegations: SECTIONS 15(C)(1) AND (2), AND 17(A) OF THE EXCHANGE ACT, AND RULES 15C1-2, 15C2-7, AND 17A-3 THEREUNDER; Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 01/11/1999 Sanctions Ordered: Disgorgement/Restitution, Cease and Desist/Injunction Resolution Details: $735,000.00 CIVIL PENALTY; $24,766.00 DISGORGEMENT. Summary: [TOP] 2/11/99 SEC NEWS DIGEST, ISSUE NO. 99-6, THE SEC INSTITUTED PROCEEDINGS AGAINST 28 NASDAQ MARKET MAKING FIRMS PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934. ALL OF THE RESPONDENTS CONSENTED, WITHOUT ADMITTING OR DENYING THE SEC'S FINDINGS, TO THE ENTRY OF ORDERS WHICH IMPOSE $26,302,500 IN CIVIL MONETARY PENALTIES, $791,525 IN DISGORGEMENT OF WRONGFUL GAINS, SUSPENSIONS OR BARS, CEASE AND DESIST ORDERS AND OTHER SANCTIONS. (RELS. 34-40900 THROUGH 34-40930, INCLUSIVE; IA-1781; FILE NO. 3-9803); (PRESS REL. 99-2) *** 2/11/99 SEC ADMINISTRATIVE PROCEEDING FILE NO. 3-9803 THE SEC HAS DETERMINED TO ACCEPT RESPONDENTS' OFFERS AND ACCORDINGLY IS ISSUING THIS ORDER. SALOMON SMITH BARNEY TRADED NASDAQ STOCKS FOR ITS OWN ACCOUNTS AND FOR THE ACCOUNTS OF INSTITUTIONAL AND RETAIL INVESTORS. IN CONNECTION WITH ITS ACTIVITIES AS A NASDAQ MARKET MAKER, RESPONDENTS ENGAGED IN THE FRAUDULENT COORDINATION OF QUOTE MOVEMENTS; UNDISCLOSED ARRANGEMENTS TO COORDINATE QUOTATIONS; BEST EXECUTION VIOLATIONS; FAILURE TO KEEP ACCURATE BOOKS AND RECORDS; FAILURE TO REASONABLY SUPERVISE NASDAQ TRADING; UNLAWFUL PROFITS AND OTHER GAINS. IT IS ORDERED, PURSUANT TO SECTIONS 15(B) AND 21C OF THE EXCHANGE ACT, THAT SALOMON SMITH BARNEY SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATION OF, OR FUTURE VIOLATION OF, SECTIONS 15(C)(1) AND (2), AND 17(A) OF THE EXCHANGE ACT, AND RULES 15C1-2, 15C2-7, AND 17A-3 THEREUNDER; SHALL, PAY A $735,000 CIVIL PENALTY WITHIN 10 BUSINESS DAYS; SHALL, PAY $24,766 IN DISGORGEMENT WITHIN 10 BUSINESS DAYS PURSUANT TO SECTION 21C(E) OF THE EXCHANGE ACT; SHALL, WITHIN 90 DAYS OF THE ENTRY OF THIS ORDER, PROVIDE TO THE INDEPENDENT CONSULTANT APPOINTED BY THE SEC IN CONNECTION WITH THESE PROCEEDINGS A DESCRIPTION OF ITS POLICIES, PROCEDURES AND PRACTICES RELATING TO PREVENTION OR DETECTION OF THE TYPES OF IMPROPER CONDUCT. (REL. NO. 34-40925, FILE NO. 3-9803) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES EXCHANGE COMMISSION Date initiated: 01/11/1999 Docket/ Case Number: ADMINISTRATIVE PROCEEDING FILE #3-9803 NASD BrokerCheck October 14, 2005 Page 174 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: IN AN ACTION BROUGHT AGAINST ALMOST ALL MAJOR NASDAQ MARKET MAKERS, THE SEC FOUND THAT IN 1994, MARKET MAKERS INCLUDING SALOMON SMITH BARNEY INC ("SSB"), THEN SEPARATELY, SALOMON BROTHERS INC. ("SB") AND SMITH BARNEY INC. ("SBI") VIOLATED PROVISIONS OF FEDERAL SECURITIES LAWS IN CONNECTION WITH THEIR MARKET MAKING ACTIVITIES IN NASDAQ SECURITIES. Current Status: Final Resolution: Settled Resolution Date: 01/11/1999 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $995,000.00 Other Sanctions: SUBMIT CERTAIN SECTIONS OF ITS POLICIES TO AN INDEPENDENT CONSULTANT Resolution Details: WITHOUT ADMITTING OR DENYING LIABILITY AND WITHOUT A HEARING, SALOMON SMITH BARNEY AS SUCCESSOR TO SMITH BARNEY INC. AGREED TO A FINE OF $735,000, AND AS SUCCESSOR TO SALOMON BROTHERS, AGREED TO A FINE OF $260,000.. THE FIRM ALSO AGREED TO DISGORGEMENTS OF $28,645 ($24,766 FOR SMITH BARNEY INC.'S PORTION & $3,879 FOR SALOMON BROTHER'S PORTION). IT ALSO AGREED TO A CEASE AND DESIST ORDER AND TO SUBMIT CERTAIN SECTIONS OF ITS POLICIES TO AN INDEPENDENT CONSULTANT. Summary: ****** REGULATORY ACTION (202 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/01/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/11/1999 Docket/ Case Number: C8A980098 Allegations: (NASD RULES 2110 AND 3010 - RESPONDENT MEMBER, ACTING THROUGH AN INDIVIDUAL, FAILED TO ENFORCE WRITTEN SUPERVISORY PROCEDURES AND FAILED TO ADEQUATELY AND PROPERLY SUPERVISE A REGISTERED REPRESENTATIVE, IN THAT THE RESPONDENTS FAILED TO PREVENT THE REGISTERED REPRESENTATIVE FROM MAKING NUMEROUS SALES OF SECURITIES (HOT ISSUES) THAT TRADED AT A PREMIUM IN THE IMMEDIATE AFTERMARKET TO RESTRICTED PERSONS IN CONTRAVENTION OF THE BOARD OF GOVERNORS' FREE-RIDING AND WITHHOLDING INTERPRETATION. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/11/1999 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS SMITH BARNEY INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED AND FINED $15,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. Date initiated: 01/11/1999 NASD BrokerCheck October 14, 2005 Page 175 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Docket/ Case Number: C8A980098 Allegations: ALLEGATION OF VIOLATIONS OF NASD CONDUCT RULES 2110 AND 3010 IN FAILING TO PREVENT THE SALE OF "HOT ISSUES" TO THREE ACCOUNTS WHICH WERE RESTRICTED UNDER THE NASD'S FREERIDING AND WITHHOLDING INTERPRETATION. Current Status: Final Resolution: Settled Resolution Date: 01/11/1999 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: THE FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A CENSURE AND A FINE IN THE AMOUNT OF $15,000.00 Summary: ON JANUARY 11, 1999 THE FIRM FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A CENSURE AND A FINE IN THE AMOUNT OF $15,000.00. ****** REGULATORY ACTION (203 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/30/1998 Initiated By: RI DEPARTMENT OF BUSINESS REGULATION; SECURITIES DIVISION Date initiated: 04/30/1998 Docket/ Case Number: 98-0040 Allegations: ACCORDING TO RECORDS ON FILE AT THE CRD, SMITH BARNEY MAINTAINS A BRANCH OFFICE AT 747 AQUIDNECK AVENUE, MIDDLETOWN, RI. THE INDIVIDUAL DESIGNATED AS SUPERVISOR OF THAT BRANCH OFFICE, JOEL RASKIN ("RASKIN"), HAD NOT PASSED THE NASD GENERAL SECURITIES PRINCIPAL QUALIFICATION EXAMINATION (SERIES 24), IN VIOLATION OF RULE 207a-1.3, PROMULGATED PURSUANT TO THE RHODE ISLAND UNIFORM SECURITIES ACT ("RIUSA"). AS OF MARCH 23, 1998, HAROLD SEIDLER ("SEIDLER") REPLACED RASKIN AS SUPERVISOR OF THAT OFFICE. SEIDLER IS SERIES 24-QUALIFIED. Current Status: Final Resolution: Consent Resolution Date: 04/30/1998 Sanctions Ordered: Resolution Details: CONSENT ORDER ENTERED APRIL 30, 1998, ORDERING SMITH BARNEY TO IMMEDIATELY UNDERTAKE TO COMPLY FULLY WITH SECTION 207 OF RIUSA, AND TO PAY A CIVIL PENALTY OF $5,000 TO THE RHODE ISLAND SECURITIES DIVISION. Summary: CONTACT: MARIA PICCIRILLI, 401-222-3048. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: RHODE ISLAND - DEPT. OF BUSINESS REG./DIV. OF SECURITIES Date initiated: 04/30/1998 Docket/ Case Number: DBR ORDER NO. 98-0040 Allegations: ALLEGATION THAT SMITH BARNEY INC. HAD NOT MET THE REQUIREMENTS OF RULE 207A-11.3 IN THAT AN INDIVIDUAL DESIGNATED AS NASD BrokerCheck October 14, 2005 Page 176 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) SUPERVISER OF A BRANCH OFFICE LOCATED IN RHODE ISLAND HAD NOT PASSED THE NASD GENERAL SECURITIES PRINCIPAL QUALIFICATION (SERIES 24) EXAMINATION. Current Status: Final Resolution: Settled Resolution Date: 04/30/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Other Sanctions: CONSENT ORDER Resolution Details: SMITH BARNEY CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO PAY A CIVIL PENALTY IN THE AMOUNT OF FIVE THOUSAND DOLLARS AND AGREED TO IMMEDIATELY COMPLY FULLY WITH THE RULE. Summary: THE CONSENT ORDER DOES NOT PREVENT SMITH BARNEY INC. FROM ACTING AS AN INVESTMENT ADVISER UNDER THE RHODE ISLAND SECURITIES LAWS OR FROM SERVING AS AN INVESTMENT ADVISER TO A REGISTERED INVESTMENT COMPAY OR FROM DOING BUSINESS IN THE STATE OF RHODE ISLAND. ****** REGULATORY ACTION (204 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/15/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/15/1997 Docket/ Case Number: C10970184 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/15/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: Summary: ON DECEMBER 15, 1997, DISTRICT NO. 10 NOTIFIED RESPONDENT SMITH BARNEY, INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10970184 WAS ACCEPTED; THEREFORE, THE FIRM IS CENSURED AND FINED $25,000 - (MSRB RULE G-8 AND G-36 - RESPONDENT MEMBER FAILED TO TIMELY SUBMIT OFFICIAL STATEMENTS AND/OR OTHER DOCUMENTS TO THE MSRB; AND FAILED TO SEND THE REQUIRED DOCUMENTS BY CERTIFIED OR REGISTERED MAIL OR SOME OTHER EQUALLY PROMPT MEANS THAT PROVIDES A RECORD OF SENDING; AND, FAILED TO MAINTAIN REQUIRED RECORDS). ****** $25,000 PAID ON 1/21/98, INVOICE NO. 98-10-18 ***** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. - DISTRICT 10 Date initiated: 12/15/1998 Docket/ Case Number: C10970184 AWC Allegations: ALLEGATIONS OF VIOLATIONS OF MSRB RULES G-36 AND G-8(A)(XV) IN THAT DURING THE PERIOD FROM SEPTEMBER 1995 THROUGH SEPTEMBER 1996 THE FIRM ALLEGEDLY FAILED TO SUBMIT OFFICIAL STATEMENTS NASD BrokerCheck October 14, 2005 Page 177 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) AND DOCUMENTS IN A TIMELY MANNER, FAILED TO POST THESE IN A WAY THAT PROVIDES A "SENDING RECORD" AND FAILED ON MANY OCCASIONS TO MAINTAIN REQUIRED RECORDS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/15/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: THE FIRM WAS CENSURED AND FINED $25,000.00. Summary: SMITH BARNEY INC. CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A CENSURE AND A FINE OF $25,000.00. SMITH BARNEY WAS ONE OF TWENTY-TWO FIRMS WHICH ENTERED INTO SIMILAR AWC'S ARISING OUT OF THE NASD'S G-36 REVIEW. ****** REGULATORY ACTION (205 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/15/2000 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 09/23/1997 Docket/ Case Number: Allegations: SECTION 15(B)(4)(E) OF THE EXCHANGE ACT WITH A VIEW TO PREVENTING VIOLATIONS OF SECTIONS 10(B) AND 15B(C)(1) OF THE EXCHANGE ACT, RULE 10B-5 THEREUNDER, AND MSRB RULE G-17. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 09/23/1997 Sanctions Ordered: Disgorgement/Restitution, Censure Resolution Details: DISGORGEMENT OF $1,584,671;PAYMENT OF PREJUDGMENT INTEREST OF $452,365;PAYMENT OF A CIVIL PENALTY OF $250,000; AND AGREEMENT BY SMITH BARNEY TO FOREGO UP TO $3,125,634 OR 46.6% OF ITS PROSPECTIVE QUARTERLY BILLINGS TO THE COUNTY UNDER A REMARKETING AGREEMENT ASSOCIATED WITH THE VARIABLE RATE BONDS ISSUED BY THE COUNTY. Summary: [TOP] 9-25-97, SEC NEWS DIGEST ISSUE NO. 97-185, THE SEC INSTITUTED ADMINISTRATIVE PROCEEDINGS AGAINST SMITH BARNEY, INC. PURSUANT TO SECTIONS 15(B) AND 19(H) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT) ON 9/23/97. THE ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTIONS 15(B) AND 19(H) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS (ORDER) ALLEGES THAT AT ALL TIMES RELEVANT, SMITH BARNEY MAINTAINED A PUBLIC FINANCE DEPARTMENT THAT WAS ENGAGED IN THE BUSINESS OF STRUCTURING AND IMPLEMENTING TRANSACTIONS WITH MUNICIPAL ISSUERS. IT IS ALLEGED THAT SMITH BARNEY FAILED REASONABLY TO SUPERVISE AN INDIVIDUAL SUBJECT TO ITS SUPERVISION WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT WITH A VIEW TO PREVENTING VIOLATIONS OF SECTIONS 10(B) AND 15B(C)(1) OF THE EXCHANGE ACT, RULE 10B-5 THEREUNDER, AND MSRB RULE G-17. SIMULTANEOUSLY WITH THE INSTITUTION OF THE ADMINISTRATIVE PROCEEDINGS, THE SEC ACCEPTED SMITH BARNEY'S OFFER OF SETTLEMENT (OFFER). IN ITS OFFER, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SMITH BARNEY CONSENTS TO: A CENSURE; UNDERTAKING TO RETAIN, AT ITS EXPENSE, AN INDEPENDENT CONSULTANT "TO CONDUCT A REVIEW OF, AND REPORT AND MAKE RECOMMENDATIONS AS TO SMITH BARNEY'S SUPERVISORY AND COMPLIANCE POLICIES AND PROCEDURES APPLICABLE TO THE PUBLIC FINANCE DEPARTMENT, RELATED TO THE TYPES OF CONDUCT WHICH GAVE RISE TO THIS PROCEEDING AND WHICH ARE DESCRIBED IN THIS ORDER"; DISGORGEMENT OF $1,584,671; PAYMENT OF PREJUDGMENT INTEREST OF $452,365; PAYMENT OF A CIVIL PENALTY OF $250,000; AND AGREEMENT BY SMITH BARNEY TO FOREGO UP TO $3,125,634 OR 46.6% OF ITS PROSPECTIVE QUARTERLY BILLINGS TO THE COUNTY NASD BrokerCheck October 14, 2005 Page 178 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) UNDER A REMARKETING AGREEMENT ASSOCIATED WITH THE VARIABLE RATE BONDS ISSUED BY THE COUNTY. (REL. 34-39118) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: U.S. SECURITIES EXCHANGE COMMISSION Date initiated: 09/23/1997 Docket/ Case Number: SEC NO. 3-9426 Allegations: ALLEGATION THAT THE FIRM FAILED TO SUPERVISE A MUNICIPALS DERIVATIVE BANKER WITHIN THE MEANING OF SECT. 15(B)(4)(E) OF THE SECURITIES EXCHANGE ACT OF 1934. Current Status: Final Resolution: Settled Resolution Date: 09/23/1997 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $250,000.00 Other Sanctions: AN UNDERTAKING THAT THE FIRM WILL SUPPLEMENT ITS COMPLIANCE AND SUPERVISORY POLICIES AND PROCEDURES RELATING TO SUPERVISION OF THE PUBLIC FINANCE DEPT.; AN AGREEMENT TO RETAIN AN INDEPENDENT CONSULTANT AND ADOPT ANY RECOMMENDATIONS DEEMED APPROPRIATE BY THE CONSULTANT; UNDER A REMARKETING AGREEMENT DATED 02/04/1994, THE FIRM TO FOREGO 46.6% OF PROSPECTIVE QUARTERLY BILLINGS UP TO A MAXIMUM OF $3,125,634. Resolution Details: SEE: 12B ABOVE Summary: SEE: 12B ABOVE ****** REGULATORY ACTION (206 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/22/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/22/1997 Docket/ Case Number: CMS960175 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/22/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $6,250.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS960175 AWC. ON AUGUST 22, 1997, SMITH BARNEY INC. (SBSH) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT SBSH VIOLATED MARKETPLACE RULE 4730(b)(5) FOR THE FOLLOWING ACTIVITY: SBSH ENTERED ORDERS ON AN AGENCY BASIS INTO SOES FOR SEVEN SECURITIES IN WHICH THE FIRM WAS A REGISTERED MARKET MAKER. SBSH WAS CENSURED AND FINED $6,250. **$6,250.00 PAID ON 8/28/97, INVOICE #97-MS-829** NASD BrokerCheck October 14, 2005 Page 179 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 08/22/1997 Docket/ Case Number: CMS960175 AWC Allegations: ALLEGED VIOLATIONS OF NASD MARKETPLACE RULE 4730(B)(5) IN THAT ON SEVEN OCCASIONS FROM DEC. 18, 1995 THROUGH MARCH 29, 1996 AND TWICE BETWEEN MARCH 29, 1996 AND JULY 31, 1996, SMITH BARNEY INC. ENTERED ORDERS ON AN AGENCY BASIS INTO SOES FOR SEVEN SECURITIES IN WHICH THE FIRM WAS A REGISTERED MARKET MAKER AND IN WHICH NO LOCKED OR CROSSED MARKET CONDITION EXISTED AT THE TIME THE SOES ORDERS WERE ENTERED AND EXECUTED. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/22/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $6,250.00 Resolution Details: ON AUGUST 22, 1997, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SMITH BARNEY INC. ENTERED INTO AN AWC IN WHICH THE FIRM CONSENTED TO A CENSURE AND A FINE OF $6,250.00. Summary: SMITH BARNEY INC. SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WHICH WAS ACCEPTED BY THE NASD ON AUGUST 22, 1997. THE FIRM, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CONSENTED TO CENSURE AND A FINE IN THE AMOUNT OF $6,500.00. ****** REGULATORY ACTION (207 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/05/1997 Initiated By: NYSE DIVISION OF ENFORCEMENT. Date initiated: 04/29/1997 Docket/ Case Number: HPD 97-73 Allegations: Not Provided Current Status: Final Resolution: Decision Resolution Date: 08/05/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $125,000.00 Resolution Details: Not Provided Summary: **8/5/97** THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY. CONTACT: PEGGY L. GERMINO AT (212) 656-8450 ****** REGULATORY ACTION (208 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/23/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/23/1997 NASD BrokerCheck October 14, 2005 Page 180 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Docket/ Case Number: CMS960200 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS960200 AWC. ON APRIL 23, 1997, SMITH BARNEY, INC. (SBSH) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT SBSH VIOLATED SEC RULE 10b-6A. ON MAY 29, 1996, SBSH, A PASSIVE MARKET MAKER IN THE COMMON STOCK OF STAR, PURCHASE 1,000 SHARES OF STAR AT A PRICE WHICH EXCEEDED THE HIGHEST INDEPENDENT BID IN THAT SECURITY AT THE TIME OF THE TRANSACTION. SBSH WAS FINED $1,000. **$1,000.00 PAID ON 7/21/97, INVOICE #97-MS-432** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 10/28/1994 Docket/ Case Number: CMS 960200 AWC Allegations: ALLEGED VIOLATION BY SMITH BARNEY INC. OF SEC RULE 10B-6A. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: SMITH BARNEY INC. SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WHICH WAS ACCEPTED BY THE NASD MARKET SURVEILLANCE COMMITTEE ON APRIL 23, 1997. THE FIRM CONSENTED TO AND PAID A FINE OF $1,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SMITH BARNEY INC. ENTERED INTO AN AWC FOR ALLEGED VIOLATIONS OF SEC RULE 10B-6A FOR PURCHASING SHARES OF AN OVER-THE-COUNTER SECURITY AT A PRICE WHICH EXCEEDED THE HIGHEST INDEPENDENT BID BY 1/4 POINT. ****** REGULATORY ACTION (209 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/23/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/23/1997 Docket/ Case Number: CMS960127 Allegations: NASD BrokerCheck October 14, 2005 Page 181 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS960127 AWC. ON APRIL 23, 1997, SMITH BARNEY, INC. (SBSH) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT SBSH VIOLATED MARKETPLACE RULE 4613(d) FOR ENTERING QUOTATIONS INTO THE NASDAQ SYSTEM THAT EXCEEDED THE PARAMETERS FOR MAXIMUM ALLOWABLE SPREADS. SBSH WAS FINED $1,000. ***$1,000.00 PAID ON 5/27/97, INVOICE #97-MS-406*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 07/30/1996 Docket/ Case Number: CMS 960127 AWC Allegations: ALLEGED VIOLATIONS OF NASD MARKETPLACE RULE 4613(D) IN THAT ON MARCH 7, 8, 11, 15, AND 21, 1996 SMITH BARNEY INC. ENTERED QUOTATIONS INTO THE NASD SYSTEM THAT WERE NOT REASONABLY RELATED TO THE PREVAILING MARKET. THE QUOTATIONS ALLEGEDLY CONTAINED SPREADS IN EXCESS OF THE MAXIMUM ALLOWABLE SPREADS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: SMITH BARNEY INC. SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT, ACCEPTED BY THE NASD MARKET SURVEILLANCE COMMITTEE ON APRIL 23, 1997, AND CONSENTED TO A FINE OF $1,000.00. Summary: SMITH BARNEY INC. SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WHICH WAS ACCEPTED BY THE NASD'S MARKET SURVEILLANCE COMMITTEE ON APRIL 23, 1997. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE OF $1,000.00. ****** REGULATORY ACTION (210 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/23/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/23/1997 Docket/ Case Number: CMS960075 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 NASD BrokerCheck October 14, 2005 Page 182 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $1,500.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS960075 AWC. ON APRIL 23, 1997, SMITH BARNEY, INC. (SBSH) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUMBITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT SBSH VIOLATED NASD CONDUCT RULE 3350 AND MARKETPLACE RULE 6130(d)(6) FOR THE FOLLOWING ACTIVITIES: SBSH EXECUTED ONE SHORT SALE TRANSACTION IN A NASDAQ NATIONAL MARKET SYSTEM SECURITY AT OR BELOW THE CURRENT INSIDE BID WHEN THE CURRENT INSIDE BID WAS BELOW THE PRECEDING INSIDE BID IN THE SECURITY; SBSH FAILED TO IDENTIFY THE TRANSACTION AS A SHORT SALE IN ITS AUTOMATED CONFIRMATION TRANSACTION SERVICE (ACT) REPORTING; AND, FOUR ADDITIONAL TRANSACTIONS WERE EXECUTED BY SBSH WITHOUT IDENTIFYING THE TRANSACTIONS AS SHORT SALES IN ITS ACT REPORTING. SBSH WAS FINED $1,500 WITH REMITTAL OF $200 OF COMMISSIONS RELATING TO THE TRANSACTIONS. ***$1,700.00 PAID ON 6/6/97, INVOICE #97-MS-391*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 04/23/1997 Docket/ Case Number: CMS960075 AWC Allegations: ALLEGATION THAT SMITH BARNEY INC. VIOLATED ARTICLE III SECT. 48 OF THE ACT RULE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/30/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Other Sanctions: $200.00 REMITTANCE OF PROFITS EARNED ON A SHORT SALE Resolution Details: SMITH BARNEY INC. SUBMITTED AN AWC, ACCEPTED BY THE NASD ON APRIL 30, 1997, FOR ALLEGED VIOLATION OF ARTICLE III, SECT. 48 OF THE ACT RULE DUE TO THE SHORT SALE OF A SECURITY. THE FIRM CONSENTED TO AND PAID A FINE IN THE AMOUNT OF $1,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SMITH BARNEY INC. ENTERED INTO AN AWC FOR ALLEGED VIOLATION OF ARTICLE III SECT. 48 OF THE ACT RULE. THE FIRM CONSENTED TO AND PAID A FINE IN THE AMOUNT OF $1,000.00. ****** REGULATORY ACTION (211 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/19/2004 Initiated By: NYSE DIVISION OF ENFORCEMENT. Date initiated: 04/29/1997 Docket/ Case Number: HPD 97-73 Allegations: STIPULATION AND CONSENT TO PENALTY FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING. CONSENTED TO FINDINGS: WITHOUT ADMITTING OR DENYING GUILT, SMITH BARNEY CONSENTS TO: A. A FINDING BY THE HEARING PANEL THAT IT: 1. VIOLATED EXCHANGE RULE 345.17(A) AND (B) IN THAT IT FAILED TO TIMELY FILE WITH THE EXCHANGE CERTAIN FORMS U-5 AND AMENDMENTS TO FORM U-5; NASD BrokerCheck October 14, 2005 Page 183 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) 2. VIOLATED EXCHANGE RULE 345.12 IN THAT IT FAILED TO TIMELY FILE WITH THE EXCHANGE CERTAIN AMENDMENTS TO FORM U-4; AND 3. VIOLATED EXCHANGE RULE 351(A) AND (D) IN THAT IT DID NOT PROMPTLY REPORT TO THE EXCHANGE CERTAIN MATTERS AS REQUIRED BY THE RULE. B. THE IMPOSITION BY THE EXCHANGE OF THE PENALTY OF A CENSURE, AND A FINE OF $125,000 AND A REQUIREMENT TO MAINTAIN A CENTRALIZED TRACKING SYSTEM FOR REPORTABLE EVENTS TO REASONABLY ENSURE THAT REGULATORY FILINGS ARE MADE WITHIN 30 DAYS OF THE REPORTABLE EVENT. Current Status: Final Resolution: Decision Resolution Date: 08/05/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $125,000.00 Other Sanctions: UNDERTAKING Resolution Details: 6/17/97** HEARING PANEL DECISION 97-73 ISSUED BY NYSE HEARING PANEL. VIOLATED RULES 345.17(A) AND (B) BY FAILING TO TIMELY FILE CERTAIN FORM U-5 AND U-5 AMENDMENTS; VIOLATED RULE 345.12 BY FAILING TO TIMELY FILE CERTAIN AMENDMENTS TO FORM U-4; AND VIOLATED RULES 351(A) AND (D) BY NOT PROMPTLY REPORTING AS REQUIRED -- CONSENT TO CENSURE, $125,000 FINE AND REQUIREMENT TO MAINTAIN A CENTRALIZED TRACKING SYSTEM FOR REPORTABLE EVENTS TO REASONABLY ENSURE THAT REGULATORY FILINGS ARE MADE WITHIN 30 DAYS OF THE REPORTABLE EVENT. Summary: **6/17/97** UNLESS A REVIEW BY THE NYSE BOARD OF DIRECTORS IS REQUESTED, THIS DECISION WILL BECOME FINAL 25 CALENDAR DAYS AFTER NOTICE OF THE HEARING PANEL'S DETERMINATION HAS BEEN SERVED UPON RESPONDENT. **8/5/97** THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY. CONTACT: PEGGY L. GERMINO AT (212)656-8450 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 06/12/1997 Docket/ Case Number: HEARING PANEL DECISION 97-73 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY INC. MADE CERTAIN LATE FILINGS OF FORMS U-4, U-5, RE-3 AND OTHER INFORMATION REQUIRED BY EXCHANGE RULE 351(D) Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/12/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $125,000.00 Other Sanctions: REQUIREMENT TO MAINTAIN A CENTRALIZED TRACKING SYSTEM FOR REPORTABLE EVENTS Resolution Details: ON JUNE 12, 1997 THE NEW YORK STOCK EXCHANGE CENSURED PREDECESSOR FIRM SMITH BARNEY INC. AND REQUIRED THE FIRM TO MAINTAIN A CENTRALIZED TRACKING SYSTEM FOR REPORTABLE EVENTS. THE FIRM PAID A FINE OF $125,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY INC. CONSENTED TO A CENSURE, A FINE OF $125,000.00 AND A REQUIREMENT TO MAINTAIN A CENTRALIZED TRACKING SYSTEM FOR REPORTABLE EVENTS. ****** REGULATORY ACTION (212 of 263) ****** Reporting Source: Regulator (Form U-6) NASD BrokerCheck October 14, 2005 Page 184 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date Reported: 07/03/1996 Initiated By: STATE OF HAWAII DEPARTMENT OF COMMERCE AND CONSUMER*See FAQ #1* Date initiated: 02/28/1997 Docket/ Case Number: SEU-94-146 Allegations: VIOLATION OF SECTION 485-10, HAWAII REVISED STATUTES. Current Status: Final Resolution: Consent Resolution Date: 02/28/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $15,000.00 Resolution Details: PETITION FOR DISCIPLINARY ACTION WAS FILED ON JULY 3, 1996, NAMING RESPONDENTS SMITH BARNEY INC., AND ALLAN ANDRADE. THE MATTER WAS ULTIMATELY SETTLED BY THE ENTRY OF A CONSENT ORDER WITH SMITH BARNEY INC.. IN SAID ORDER SMITH BARNEY MADE A CIVIL PAYMENT TO THE STATE OF $15,000, REIMBURSED A CUSTOMER OF LOSSES IN THE AMOUNT OF $44,000, AND CIRCULATED AN INTERNAL MEMO TO ALL SALES PERSONNEL REGARDING INFORMING CUSTOMERS OF STOP-LOSS ORDER PROTECTION ON CERTAIN TRANSACTIONS WHEN SUCH PROTECTION IS REQUESTED. THE PETITION WAS ULTIMATELY DISMISSED AS TO ALLAN ANDRADE WITHOUT PREJUDICE. Summary: CASE INVOLVED A CUSTOMER WHO REQUESTED STOP-LOSS ORDER ON A PURCHASE OF STOCK. REP CLAIMED HE NEVER RECEIVED THE REQUEST AS IT WAS TRANSMITTED BY FAX. CONTACT: AMY MORIKAMI (808)586-2740. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF HAWAII - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS Date initiated: 07/03/1996 Docket/ Case Number: SEU-94-146 Allegations: ALLEGED FAILURE BY PREDECESSOR FIRM SMITH BARNEY INC. TO REASONABLY SUPERVISE A REGISTERED INDIVIDUAL WHO ALLEGEDLY FAILED TO EXECUTE A SELL ORDER AND ALLEGEDLY MADE FALSE, MISLEADING, DECEPTIVE, EXAGGERATED AND/OR FLAMBOYANT REPRESENTATIONS OR PREDICTIONS IN THE SOLICITATIONS OR SALE OF A SECURITY Current Status: Final Resolution: Settled Resolution Date: 02/28/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $15,000.00 Other Sanctions: CIRCULATE A MEMORANDUM TO THE RETAIL SYSTEM OUTLINING THE PROCEDURE FOR STOP-LOSS ORDERS ON OVER-THE-COUNTER TRADES Resolution Details: ON FEBRUARY 28, 1997 PREDECESSOR FIRM SMITH BARNEY INC. SETTLED THE MATTER, CONSENTING TO MAKE A $15,000.00 CIVIL PAYMENT AND TO CIRCULATE A MEMORANDUM TO THE RETAIL SYSTEM OUTLINING THE PROCEDURE FOR STOP-LOSS ORDERS ON OVER-THE-COUNTER TRADES. Summary: ON FEBRUARY 28, 1997 PREDECESSOR FIRM SMITH BARNEY INC. SETTLED THE MATTER WITHOUT ADMITTING OR DENYING ANY VIOLATION OF HAWAII SECURITIES LAWS. ****** REGULATORY ACTION (213 of 263) ****** NASD BrokerCheck October 14, 2005 Page 185 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 03/05/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/05/1997 Docket/ Case Number: C10970026 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/05/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Resolution Details: Summary: ON MARCH 5, 1997, DISTRICT NO. 10 NOTIFIED RESPONDENT SMITH BARNEY INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10970026 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED, FINED $250,000, AND AN UNDERTAKING TO DISGORGE TO RETAIL CUSTOMERS $2,684,013.70 - (NASD RULES 2830(j) AND 2110 - RESPONDENT MEMBER IMPROPERY CHARGED CERTAIN OF ITS RETAIL CUSTOMERS COMMISSIONS FOR EXECUTING NON-PROPRIETARY MUTUAL FUND REDEMPTION TRANSACTIONS ON THEIR BEHALF). ***$250,000.00 PAID ON 3/24/97, INVOICE #97-10-173*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. - DISTRICT 10 Date initiated: 03/10/1997 Docket/ Case Number: AWC NO. C10970026 Allegations: PREDECESSOR FIRM SMITH BARNEY INC. ALLEGEDLY CHARGED COMMISSIONS ON THE REDEMPTION OF CERTAIN NON-PROPRIETARY MUTUAL FUNDS DURING THE PERIOD AUGUST 1, 1993 THROUGH AUGUST 28, 1995. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/10/1997 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $250,000.00 Resolution Details: ON MARCH 10, 1997 PREDECESSOR FIRM SMITH BARNEY INC. CONSENTED TO A CENSURE, A FINE OF $250,000.00 AND AN UNDERTAKING TO DISGORGE COMMISSIONS, PLUS INTEREST, TO CERTAIN CUSTOMERS. Summary: PREDECESSOR FIRM SMITH BARNEY INC. CONSENTED WITHOUT ADMITTING OR DENYING THE ALLEGATIONS TO A CENSURE, A $250,000.00 FINE AND AN UNDERTAKING TO DISGORGE COMMISSIONS, PLUS INTEREST TO CERTAIN CUSTOMERS WHO PAID AN AGENCY COMMISSION ON MUTUAL FUND REDEMPTIONS. ****** REGULATORY ACTION (214 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/23/1996 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD BrokerCheck October 14, 2005 Page 186 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 12/19/1995 Docket/ Case Number: C07950087 Allegations: Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 10/23/1996 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,500.00 Resolution Details: Summary: COMPLAINT NO. C07950087 FILED DECEMBER 19, 1995 BY DISTRICT NO. 7 AGAINST SMITH BARNEY, INC. ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 21(f) OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER ATTEMPTED TO LIMIT THE TYPES OF DAMAGES POTENTIALLY AVAILABLE TO PUBLIC CUSTOMERS IN AN ARBITRATION; AND, ATTEMPTED TO DICTATE THE LOCATION OF AN ARBITRATION. ON OCTOBER 23, 1996, THE DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT SUBMITTED BY RESPONDENT MEMBER WAS ISSUED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $2,500. **$2,500.00 PAID ON 11/21/96, INVOICE #96-07-831** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD - DISTRICT 7 Date initiated: 12/19/1995 Docket/ Case Number: COMPLAINT NO. C07950087 Allegations: ALLEGED VIOLATION OF THE ASSOCIATION'S RULES OF FAIR PRACTICE Current Status: Final Resolution: Settled Resolution Date: 10/23/1996 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,500.00 Resolution Details: ON OCTOBER 23, 1996 THE NASD BUSINESS CONDUCT COMMITTEE - DISTRICT 7, ACCEPTED PREDECESSOR FIRM SMITH BARNEY INC.'S OFFER OF SETTLEMENT AND IMPOSED A CENSURE. A FINE OF $2,500.00 WAS PAID BY THE FIRM. Summary: THE NASD BUSINESS CONDUCT COMMITTEE - DISTRICT 7 CENSURED PREDECESSOR FIRM SMITH BARNEY INC. AND IMPOSED A FINE OF $2,500.00. ****** REGULATORY ACTION (215 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/10/1996 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/17/1995 Docket/ Case Number: CMS950204 AWC Allegations: NASD BrokerCheck October 14, 2005 Page 187 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Consent Resolution Date: 04/10/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT NO. CMS950204 AWC LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) FILED ON NOVEMBER 17, AGAINST SMITH BARNEY INC. (SBSH) ALLEGING VIOLATIONS OF PART IV, a)2(A) OF THE FIXED INCOME PRICING SYSTEM RULES (FIPS) AND ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE IN THAT SBSH FAILED TO REPORT 16 TRANSACTIONS IN MANDATORY FIPS ISSUES IN EXCESS OF FIVE MINUTES OF EXECUTION. SBSH ALSO ALLEGEDLY VIOLATED PART IV, a)4(C) OF THE FIPS RULES BY REPORTING ONE VIOLATION WITH AN INCORRECT PRICE. SBSH WAS NOTIFIED ON APRIL 10, 1996 THAT THE MARKET SURVEILLANCE AND THE NATIONAL BUSINESS CONDUCT COMMITTEES HAD ACCEPTED THE AWC WHEREWITH SBSH WAS FINED $1,000. THE AWC BECAME FINAL ON APRIL 10, 1996. ***$1,000.00 PAID ON 04/30/96, INVOICE #96-MS-319*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 11/17/1995 Docket/ Case Number: CMS950204 AWC Allegations: ALLEGED VIOLATIONS BY PREDECESSOR FIRM SMITH BARNEY INC. OF PART IV(A)2(A) OF THE FIXED INCOME PRICING SYSTEM RULES AND ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE IN THAT THE FIRM FAILED TO REPORT 16 TRANSACTIONS IN MANDATORY FIPS ISSUES IN EXCESS OF FIVE MINUTES OF EXECUTION AS WELL AS ALLEGED VIOLATIONS OF PART IV(A)4(C) OF THE FIPS RULES BY REPORTING VIOLATION WITH AN INCORRECT PRICE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/10/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: ON APRIL 10, 1994 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO AN AWC AND PAID A FINE IN THE AMOUNT OF $1,000.00. Summary: ON APRIL 10, 1996 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO AN AWC WITHOUT ADMITTING OR DENYING THE ALLEGATIONS AND WAS FINED BY THE NASD THE SUM OF $1,000.00. ****** REGULATORY ACTION (216 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/19/1992 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 06/19/1992 Docket/ Case Number: 92-69 Allegations: SEE RESULTS Current Status: Final NASD BrokerCheck October 14, 2005 Page 188 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution: Consent Resolution Date: 06/19/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED, MEMBER ORGANIZATION VIOLATED SECURITIES EXCHANGE ACT REGULATION 240.15c3-3(b) BY FAILING TO MAINTAIN CONTROL SECURITIES HELD FOR THE ACCOUNTS OF CUSTOMERS AND BY FAILING TO INCLUDE A REQUIRED NOTICE; VIOLATED REGULATION 240.15c3-3(c) BY FAILING TO RECONCILE A FULLY PAID NSCC ACCOUNT, BY IMPROPERLY CONSIDERING POSITIONS IN THE CUSTODY OF A FOREIGN CLEARING AGENCY AS BEING IN A GOOD CONTROL LOCATION AND BY IMPROPERLY CONSIDERING AGED UNCONFIRMED TRANSFERS AS BEING IN A CONTROL LOCATION; VIOLATED REGULATION 240.15c3-3(c)(4) BY INCORRECTLY CONSIDERING FOREIGN CUSTODIAL ACCOUNTS AS BEING IN A CONTROL LOCATION; AND VIOLATED REGULATION 240.15c3-3(d)(4) BY FAILING TO PREPARE A DETAILED DESCRIPTION OF ITS COMPLIANCE PROCEDURES WITH THE POSSESSION OR CONTROL REQUIREMENTS OF REGULATION 240.15c3-3-- CONSENT TO CENSURE AND $20,000 FINE. Summary: SEE RESULTS *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 01/01/1988 Docket/ Case Number: HEARING PANEL DECISION 92-69 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED VIOLATED PROVISIONS OF NEW YORK STOCK EXCHANGE RULE 15C3-3. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/30/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: ON APRIL 30, 1992 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CONSENTED TO CENSURE AND PAID A FINE OF $20,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. CONSENTED TO CENSURE AND A FINE IN THE AMOUNT OF $20,000.00. ****** REGULATORY ACTION (217 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/03/1994 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/23/1993 Docket/ Case Number: CMS 9300046 AWC Allegations: Current Status: Final Resolution: Consent NASD BrokerCheck October 14, 2005 Page 189 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 01/03/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: Summary: 1/5/94: MARKET SURVEILLANCE COMMITTEE COMPLAINT #CMS9300046 AWC (A) LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED SEPTEMBER 23, 1993 AGAINST RESPONDENT SMITH BARNEY SHEARSON INC. ALLEGING VIOLATIONS OF SECTION c)2(D) IN THAT RESPONDENTS ENTERED ORDERS OF AN AGENY BASIS INTO SOES FOR SECURITTIES IN WHICH THEY WERE REGISTERED MARKET MAKERS, CONTRARY TO THE PROVISIONS OF THE ASSOCIATION'S RULES OF PRACTICE AND PROCEDURE FOR SOES. THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON NOVEMBER 30, 1993 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON JANUARY 3, 1994. FINE $1,500. ***$1,500 PAID ON 5/03/94, INVOICE #94-MS-51. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 09/23/1993 Docket/ Case Number: CMS930046AWC Allegations: ALLEGEDLY DURING THE PERIOD MAY 4, 1993 THROUGH JULY 26, 1993 AND ON 15 OCCASINS PREDECESSOR FIRM SMITH BARNEY INC. ENTERED ORDERS ON AN AGENCY BASIS INTO THE SMALL ORDER EXECUTION SYSTEM FOR SECURITIES CONTRARY TO THE PROVISIONS OF THE RULES OF PRACTICE AND PROCEDURES FOR SOES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/23/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: ON SEPTEMBER 23, 1993 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO AN AWC AND PAID A $1,500.00 FINE. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO AN AWC ON SEPTEMBER 23, 1993 AND PAID A FINE OF $1,500.00. ****** REGULATORY ACTION (218 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/04/1992 Initiated By: INDIANA SECURITIES DIVISION Date initiated: 05/04/1992 Docket/ Case Number: 92-0082 CA Allegations: VIOLATION OF INDIANA SECURITIES LAW Current Status: Final Resolution: Consent Resolution Date: 05/04/1992 Sanctions Ordered: Disgorgement/Restitution NASD BrokerCheck October 14, 2005 Page 190 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: CONSENT AGREEMENT Summary: THE INDIANA SECURITIES DIVISION RECEIVED A COMPLAINT FROM AN INDIANA RESIDENT ON 7/91.......FLACCO WAS REGISTERED FOR SMITH BARNEY IN THE STATE OF INDIANA AND HAD COMPLAINANT AS A CLIENT. IN ORDER TO SETTLE THE COMPLAINT FLACCO AND SMITH BARNEY AGREE THAT SMITH BARNEY SHALL OFFER TO REFUND CLIENT $3,000.00 WITHIN 10 DAYS OF THE DATE OF THE AGREEMENT, AND SMITH BARNEY SHALL PAY THE INDIANA SECURITIES DIVISION COSTS OF INVESTIGATION OF $750.00 WITHIN 10 DAYS OF THE DATE OF THE AGREEMENT. EXECUTION OF THIS AGREEMENT DOES NOT CONSTITUTE AN ADMISSION ON THE PART OF SMITH BARNEY AND FLACCO THAT THEY HAVE VIOLATED ANY LAW OR COMMITTED ANY WRONGFUL ACTS, NOR SHALL IT CONSTITUTE AN ABONDONMENT BY THE DIVISION OF ITS POSITION THAT SMITH BARNEY AND FLACCO HAVE VIOLATED THE INDIANA SECURITIES ACT. ****** REGULATORY ACTION (219 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/29/1970 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 04/29/1970 Docket/ Case Number: Allegations: Current Status: Final Resolution: Settled Resolution Date: 04/29/1970 Sanctions Ordered: Censure, Suspension Resolution Details: Summary: PURSUANT TO A SETTLEMENT OFFER BY HARRIS UPHAM(PREDECESSOR OF REGISTRANT) THE SEC CENSURED HARRIS UPHAM, SUSPENDED CERTAIN ACTIVITIES OF ITS CHICAGO, NORTH MICHIGAN AVENUE FOR 7 DAYS AND CENSURED ITS SUPERVISORY OFFICER AND PROHIBITED HIM FROM ASSUMING ANY SUPERVISORY FUNCTIONS OR RESPONSIBILITIES FOR A PERIOD OF 6 MONTHS, BASED ON THE ALLEGED MISHANDLING OF A CUSTOMER'S ACCOUNT CONCEALED FROM THE FIRM BY A BRANCH OFFICE MANAGER AND A REGISTERED REPRESENTATIVE. ****** REGULATORY ACTION (220 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/09/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/13/1961 Docket/ Case Number: NY-525 Allegations: SMITH BARNEY & CO. FAILED TO MAKE A BONA FIDE PUBLIC OFFERING OF A COMMON STOCK. Current Status: Final Resolution: Decision Resolution Date: 08/05/1962 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution NASD BrokerCheck October 14, 2005 Page 191 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Details: DECISION ISSUED JULY 6,1962 WHEREIN SMITH BARNEY IS CENSURED AND FINED $1,000. DECISION BECAME FINAL AUGUST 5, 1962. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/23/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/31/1961 Docket/ Case Number: NY-525 Allegations: N/A - ALL FILES UNAVAILABLE DUE TO THE AGE OF THIS ITEM Current Status: Final Resolution: Decision Resolution Date: 08/05/1962 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution Details: CENSURE AND FINE IN THE AMOUNT OF ONE THOUSAND DOLLARS ($1,000.00) RECEIVED 07/30/1962. Summary: COMPLAINT NO. NY-525 FILED 10/31/1961. DECISION: 07/06/1962. ALL INFORMATION HAS BEEN TRANSFERRED FROM FORM U-6 DATA PROVIDED BY THE CRD TO CGMI. CGMI HAS NO WAY TO INDEPENDENTLY VERIFY THE ACCURACY OF THE INFORMATION DUE TO THE AGE OF THIS MATTER. AT CRD'S REQUEST, CGMI IS FILING THE INFORMATION CONTAINED ON THE U-6 FOR THE FIRM. ****** REGULATORY ACTION (221 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/09/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/13/1961 Docket/ Case Number: NY-525 Allegations: RESPONDENT FAILED TO MAKE A BONA FIDE PUBLIC OFFERING OF A COMMON STOCK Current Status: Final Resolution: Decision Resolution Date: 08/05/1962 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution Details: DECISION 7/6/62 CENSURED & FINED $1,000. THE DECISION BECAME FINAL 8-5-62 Summary: ****** REGULATORY ACTION (222 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/13/1969 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD BrokerCheck October 14, 2005 Page 192 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 02/25/1966 Docket/ Case Number: A-298 Allegations: Current Status: Final Resolution: Decision Resolution Date: 09/27/1969 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: Summary: COMPLAINT A-298 FILED 2-25-66 (SAN FRANCISCO) DECISION 8-29-68 - $50,000 FINE, $6,168.68 COSTS J & S TO BE FINAL 9-28-68 9-12-68 APPEALED TO B/G. DECISION STAYED 8-28-69 B/G DECISION. REDUCED PENALTIES, MEMBER CENSURED AND FINED $20,000, ASSESSED $6,168.68 J & S F&C NOT PAID FINAL 9-27-69 10-13-69 FEES PAID BY MEMBER ($20,000 & $6,168.68 PER J&S) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD DISTRICT BUSINESS CONDUCT COMMITTEE - DISTRICT NO. 2 Date initiated: 08/29/1968 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED FAILED TO SUPERVISE Current Status: Final Resolution: Decision Resolution Date: 08/29/1968 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Other Sanctions: ASSESSED COSTS OF THE PROCEEDINGS Resolution Details: IN A DECISION RENDERED ON AUGUST 29, 1968 THE NASD BUSINESS CONDUCT COMMITTEE FOR DISTRICT 2 CENSURED PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED AND FINED THE FIRM $50,000.00. UPON APPEAL, THE THE NASD BOARD OF GOVERNORS AFFIRMED FINDINGS MADE BY THE DISTRICT COMMITTEE BUT REDUCED THE FINE AGAINST THE FIRM. THE FIRM PAID A FINE OF $20,000.00. Summary: ON AUGUST 29, 1968 THE NASD BUSINESS CONDUCT COMMITTEE FOR DISTRICT 2 CENSURED PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED AND FINED THE FIRM $50,000.00. THE DECISION WAS APPEALED AND THE NASD BOARD OF GOVERNORS AFFIRMED THE ORIGINAL FINDINGS BUT REDUCED THE FINE FROM $50,000.00 TO $20,000.00. ****** REGULATORY ACTION (223 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/23/1978 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/02/1977 Docket/ Case Number: SEA-267 NASD BrokerCheck October 14, 2005 Page 193 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: Current Status: Final Resolution: Decision Resolution Date: 06/23/1978 Sanctions Ordered: Censure Resolution Details: Summary: COMPLAINT #SEA-267 FILED 9-2-77 DISTRICT #1 5-10-78: CENSURED: ASSESSED COSTS OF $620.95 J & S 6-23-78: TO BE FINAL 6-23-78: FINAL 5-21-78: FC# 7064 PAID. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 09/01/1977 Docket/ Case Number: N/A Allegations: ALLEGATION OF FAILURE TO REASONABLY SUPERVISE BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED. Current Status: Final Resolution: Decision Resolution Date: 05/10/1978 Sanctions Ordered: Censure Resolution Details: IN A DECISION RENDERED ON MAY 10, 1978 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCOROPORATED WAS CENSURED BY THE NASD. Summary: IN A DECISION RENDERED ON MAY 10, 1978 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS CENSURED BY THE NASD. ****** REGULATORY ACTION (224 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/20/1982 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 04/20/1982 Docket/ Case Number: Unknown Allegations: Current Status: Final Resolution: Decision Resolution Date: 04/20/1982 Sanctions Ordered: Censure Resolution Details: Summary: THE COMMISSION HAS ORDERED THE INSTITUTION OF ADMINISTRATIVE PROCEEDINGS AGAINST SMITH BARNEY, HARRIS UPHAM & CO., INC. A REGISTERED BROKER-DEALER HEADQUARTERED IN NEW YORK, NY AND ROBERT D. SMITH, A REGISTERED REPRESENTATIVE FORMERLY EMPLOYED BY THAT FIRM AS A VICE-PRESIDENT AND TRADER. IN THE SAME ORDER NASD BrokerCheck October 14, 2005 Page 194 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) THE COMMISSION ACCEPTED OFFERS OF SETTLEMENT SUBMITTED BY THE RESPONDENTS WITHOUT ADMITTING OR DENYING THE COMMISSION'S FINDINGS (EXCEPT AS NOTED BELOW) AND IMPOSED THE FOLLOWING SANCTIONS: 1)SMITH WAS BARRED FROM ASSOCIATION IN ANY CAPACITY WITH ANY BROKER, DEALER, INVESTMENT COMPANY, INVESTMENT ADVISER OR MUNICIPAL SECURITIES DEALER PROVIDED THAT AFTER THREE YEARS HE MAY REAPPLY FOR ASSOCIATION IN ANY NON-PROPRIETARY AND NON-SUPERVISORY POSITION UPON A SHOWING THAT HE WILL BE ADEQUATELY SUPERVISED; 2)SMITH BARNEY WAS CENSURED; AND 3)SMITH BARNEY WAS ORDERED TO COMPLY WITH CERTAIN UNDERTAKINGS WHICH REQUIRE THE IMPLEMENTATION AND MAINTENANCE OF SPECIAL COMPLIANCE AND SUPERVISION PROCEDURES INCLUDING TRAINING EMPLOYEES AND AN AUDIT PROGRAM REQUIRING WRITTEN REPORTS RELATING TO PREFERRED STOCK ACTIVITIES AND SALES PRACTICES. IN THE ADMINISTRATIVE PROCEEDINGS, SMITH ADMITTED THAT HE WAS ENJOINED FROM FURTHER VIOLATIONS OF THE ANTIFRAUD PROVISIONS. (REL. 34-18665) (SEE LR-9652). SEC NEWS DIGEST, APRIL 20,1982, ISSUE 82-75. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISION Date initiated: 04/19/1982 Docket/ Case Number: N/A Allegations: ALLEGATION THAT A REGISTERED INDIVIDUAL VIOLATED THE SECURITIES ACT OF 1933 AND THE EXCHANGE ACT IN CONNECTION WITH A "ROLLOVER" PROGRAM, AND THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED AIDED AND ABETTED AND FAILED TO SUPERVISE THE INDIVIDUAL. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/19/1982 Sanctions Ordered: Censure Other Sanctions: REGISTERED INDIVIDUAL SUSPENDED PERMANENTLY FROM INVOLVEMENT WITH ANY B-D, BUT WITH LEAVE TO APPLY TO THE SEC AFTER A PERIOD OF THREE YEARS. PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CENSURED AND REQUIRED TO MAINTAIN PROCEDURES TO PREVENT A REOCURRENCE. Resolution Details: ON APRIL 19, 1982 THE SEC PERMENENTLY SUSPENDED THE REGISTERED INDIVIDUAL WITH LEAVE TO RE-APPLY AFTER A PERIOD OF THREE YEARS, CENSURED PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED AND REQUIRED THE FIRM TO MAINTAIN PROCEDURES TO PREVENT A REOCCURRENCE. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ON APRIL 19, 1982 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CONSENTED TO THE FINDINGS AND THE FIRM WAS CENSURED AND REQUIRED TO MAINTAIN PROCEDURES TO PREVENT A REOCCURANCE. ****** REGULATORY ACTION (225 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/01/1995 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/01/1995 Docket/ Case Number: CMS 950044 AWC Allegations: Current Status: Final Resolution: Consent Resolution Date: 09/01/1995 NASD BrokerCheck October 14, 2005 Page 195 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT NO. CMS950044 AWC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) FILED MAY 1, 1995 AGAINST RESPONDENT SMITH BARNEY, INC. (SBSH) ALLEGING VIOLATIONS OF PART X, SECTION 2(a)(8) AND PART XI, SECTION 2(a)(8) OF SCHEDULE D TO THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT SBSH REPORTED TRANSACTIONS DESIGNATED AS LATE AND IN EXCESS OF 90 SECONDS OF EXECUTION. RESPONDENT SBSH IS ALSO IN VIOLATION OF ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE AND THE NATIONAL BUSINESS CONDUCT COMMITTEE ON SEPTEMBER 1, 1995. RESPONDENT SBSH WAS FINED $1,500 WITH AN UNDERTAKING TO IMPLEMENT ITS SUPERVISORY PROCEDURES TO PREVENT SUCH A PATTERN OR PRACTICE OF LATE TRADE REPORTING. THE AWC BECAME FINAL ON SEPTEMBER 1, 1995. **$1,500.00 PAID ON 9/26/95, INVOICE #95-MS.580** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 05/01/1995 Docket/ Case Number: CMS 950044 AWC Allegations: ALLEGED VIOLATIONS BY SMITH BARNEY INC. OF PART X, SECT. 2(A)(8), PART XI, SECT. 2(A)(8) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS AND ARTICLE III, SEC. I OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/01/1995 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Other Sanctions: UNDERTAKING TO IMPLEMENT SUPERVISORY PROCEDURES Resolution Details: ON MAY 1, 1995 THE FIRM ENTERED INTO AN AWC FOR ALLEGED VIOLATIONS OF PART X, SC. 2(A)(8), PART XI, SECT. 2(A)(8) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS AND ARTICLE III, SEC. I OF THE ASSOCIATION'S RULES OF FAIR PRACTICE IN THAT SMITH BARNEY INC. ALLEGEDLY REPORTED TRANSACTIONS DESIGNATED AS LATE AND IN EXCESS OF 90 SECONDS OF EXECUTION. THE FIRM CONSENTED TO A FINE OF $1,500.00 WITH AN UNDERTAKING TO IMPLEMENT SUPERVISORY PROCEDURES TO PREVENT A PATTERN OR PRACTICE OF LATE TRADE REPORTING. Summary: SMITH BARNEY INC. SUBMITTED AN AWC WHICH WAS ACCEPTED BY THE NASD MARKET SURVEILLANCE COMMITTEE ON MAY 1, 1995. THE FIRM CONSENTED TO AN UNDERTAKING TO IMPLEMENT ITS SUPERVISORY PROCEDURES TO PREVENT A PATTERN OR PRACTICE OF LATE TRADE REPORTING AND PAID A FINE IN THE AMOUNT OF $1,500.00. ****** REGULATORY ACTION (226 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/05/1995 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/03/1995 Docket/ Case Number: CMS940121(A) AWC NASD BrokerCheck October 14, 2005 Page 196 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Allegations: Current Status: Final Resolution: Consent Resolution Date: 06/05/1995 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT NO. CMS940121(A) AWC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) ALLEGES VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 6 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE, PART V, SECTION 2(b) OF SCHEDULE D TO THE ASSOCIATION'S BY-LAWS AND RULE 11Ac1-1(c) OF THE SECURITIES EXCHANGE ACT OF 1934 IN THAT THE RESPONDENT FAILED TO HONOR THE QUOTATIONS IT CAUSED TO BE DISSEMINATED THROUGH THE NASDAQ SYSTEM (BACKING AWAY). THE COMPLAINT WAS FILED ON MARCH 3, 1995 AND ACCEPTED BY THE MARKET SURVEILLANCE AND THE NATIONAL BUSINESS CONDUCT COMMITTEES ON JUNE 5, 1995. THE RESPONDENT MEMBER WAS CENSURED AND FINED $7,500. THE AWC BECAME FINAL ON JUNE 5, 1995. **$7,500.00 PAID ON 8/2/95 INVOICE #95-MS.371** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/03/1995 Docket/ Case Number: CMS 940121 (A) AWC Allegations: ALLEGATIONS OF VIOLATION OF RULE 11AC1-1 OF THE SECURITIES EXCHANGE ACT OF 1934, PART V, SEC. 2(B) OF SCHEDULE D TO THE NASD BY-LAWS AND ARTICLE III, SECTIONS 1 & 6 OF NASD'S RULES OF FAIR PRACTICE IN CONNECTION WITH SMITH BARNEY'S FAILURE TO HONOR CERTAIN NASDAQ QUOTATIONS. Current Status: Final Resolution: Settled Resolution Date: 06/05/1995 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: SMITH BARNEY CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,TO A CENSURE AND A FINE OF $7,500.00. Summary: ****** REGULATORY ACTION (227 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/10/1995 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/25/1995 Docket/ Case Number: CMS940131 AWC Allegations: Current Status: Final Resolution: Consent NASD BrokerCheck October 14, 2005 Page 197 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Date: 04/10/1995 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #CMS940131 AWC. LETTER OF ACCEPTANCE, WAIVER, AND CONSENT (AWC) ALLEGES A VIOLATION OF ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE IN THAT THE RESPONDENT ENTERED AN ORDER IN THE ASSOCIATION'S SELECTNET SYSTEM (SNET), WHICH CONTAINED A MESSAGE IN THE "TEXT MSG" FIELD. SUCH MESSAGE IS INAPPROPRIATE, UNRELATED TO THE ORDER AND CONTRARY TO THE PURPOSE AND FUNCTION OF SNET. THE COMPLAINT WAS FILED ON JANUARY 25, 1995 AND WAS ACCEPTED BY THE NBCC ON APRIL 10, 1995. THE RESPONDENT MEMBER WAS FINED $500. ********************************************************* ***$500.00 PAID ON 5/17/95 INVOICE NO. 95-MS-259*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 01/25/1995 Docket/ Case Number: CMS 940131 AWC Allegations: ALLEGATION THAT THE TRADING DEPARTMENT OF PREDECESSOR FIRM SMITH BARNEY INC. VIOLATED ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/11/1995 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: ON APRIL 11, 1995 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO AN AWC AND PAID A FINE IN THE AMOUNT OF $500.00. Summary: ON APRIL 11, 1995 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO AN AWC AND CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A FINE OF $500.00. ****** REGULATORY ACTION (228 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/14/1995 Initiated By: AL Date initiated: 04/14/1995 Docket/ Case Number: CO-95-0038 Allegations: THE COMMISSION WAS ADVISED BY THE BOSTON COMPANY, AN ENTITY ENSURING BLUE SKY COMPLIANCE FOR SMITH BARNEY INCOME FUNDS, THAT AN AUDIT DISCLOSED THAT SALES IN THE AGGREGATE AMOUNT OF $2,993,718, HAD BEEN EFFECTED IN TWO FUNDS AND THAT THE PREVIOUSLY OBTAINED EXEMPTIONS FOR THE FUNDS HAD NOT BEEN RENEWED IN THE STATE OF ALABAMA. Current Status: Final Resolution: Consent Resolution Date: 08/24/1995 NASD BrokerCheck October 14, 2005 Page 198 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine Monetary Amount: $10,000.00 Resolution Details: SHOW CAUSE ORDER ISSUED 04/14/95 Summary: SAME AS ALLEGATIONS CONTACT: ALABAMA SECURITIES COMMISSION (334)242-2984 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 04/03/1995 Docket/ Case Number: ADMINISTRATIVE ORDER NO. C0-95-0038 Allegations: ALLEGED SALE OF MUTUAL FUNDS WITHOUT THE RENEWAL OF A PREVIOUSLY OBTAINED EXEMPTION. Current Status: Final Resolution: Consent Resolution Date: 08/24/1995 Sanctions Ordered: Monetary/Fine Monetary Amount: $10,000.00 Other Sanctions: $1,000.00 PAYMENT FOR THE COST OF THE INVESTIGATION Resolution Details: ON AUGUST 24, 1995 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO A CONSENT ORDER AND AGREED TO PAY A $10,000.00 FINE AND $1,000.00 FOR INVESTIGATION COSTS. Summary: ON AUGUST 24, 1995 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO A CONSENT ORDER AND PAID A FINE OF $10,000.00 AND $1,000.00 FOR THE COST OF THE INVESTIGATION. ****** REGULATORY ACTION (229 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/25/1994 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/29/1994 Docket/ Case Number: CMS 940072 AWC Allegations: Current Status: Final Resolution: Consent Resolution Date: 10/25/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #CMS940072 AWC. LETTER OF ACCEPTANCE, WAIVER, AND CONSENT (AWC) ALLEGE VIOLATIONS OF PART V, SECTION 2(d) OF SCHEDULE D FOR ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. THE COMPLAINT WAS FILED ON JULY 29, 1994 AND ACCEPTED BY THE NBCC ON OCTOBER 25, 1994. THE FIRM WAS FINED $5,000. THE AWC BECAME FINAL ON OCTOBER 25, NASD BrokerCheck October 14, 2005 Page 199 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) 1994. **$5,000 PAID 1/6/95 INVOICE #94-MS-744** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 07/29/1994 Docket/ Case Number: CMS 940072 AWC Allegations: ALLEGED VIOLATIONS BY SMITH BARNEY INC. OF PART V, SEC. 2(D) OF SCHEDULE D. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/25/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: ON OCTOBER 25, 1994 THE NASD ACCEPTED AN AWC SUBMITTED BY SMITH BARNEY INC. AND THE FIRM PAID A FINE IN THE AMOUNT OF $5,000. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ON OCTOBER 25, 1994 THE NASD ACCEPTED AN AWC SUBMITTED BY SMITH BARNEY INC. FOR ALLEGED VIOLATIONS OF PART V, SEC. 2(D) OF SCHEDULE D FOR ALLEGEDLY ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. THE FIRM PAID A FINE OF $5,000.00. ****** REGULATORY ACTION (230 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/25/1994 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/29/1994 Docket/ Case Number: CMS940063 AWC Allegations: Current Status: Final Resolution: Consent Resolution Date: 10/25/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #CMS940063 AWC. LETTER OF ACCEPTANCE, WAIVER, AND CONSENT (AWC) ALLEGES VIOLATIONS OF PART V, SECTION 2(b) OF SCHEDULE D TO THE ASSOCIATION'S BY-LAWS, ARTICLE III, SECTIONS 1 AND 6 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE AND RULE 11Ac1-1(c) OF THE SECURITIES EXCHANGE ACT OF 1934 IN THAT SBSH FAILED TO HONOR THE QUOTATIONS IT DISSEMINATED THROUGH THE NASDAQ SYSTEM (BACKING AWAY). THE COMPLAINT ON JULY 29, 1994, AND ACCEPTED BY THE NBCC ON OCTOBER 25, 1994. THE FIRM WAS FINED $1,000. THE AWC BECAME FINAL ON OCTOBER 25, 1994. **$1,000 PAID 1/6/95 INVOICE #94-MS-743** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: NASD BrokerCheck October 14, 2005 Page 200 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Initiated By: NASD Date initiated: 07/29/1994 Docket/ Case Number: CMS 940063 AWC Allegations: ALLEGATION THAT SMITH BARNEY INC. VIOLATED PART V, SECT. 2(B) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS AND ARTICLE III, SECTS. 1 AND 6 OF THE ASSOCIATION'S RULES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/25/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: SMITH BARNEY INC. SUBMITTED AN AWC THAT WAS ACCEPTED BY THE NASD ON OCTOBER 25, 1994. THE FIRM PAID A FINE IN THE AMOUNT OF $1,000.00. Summary: ON OCTOBER 25, 1994 THE NASD ACCEPTED AN AWC SUBMITTED BY SMITH BARNEY INC. AND THE FIRM WAS FINED $1,000.00. ****** REGULATORY ACTION (231 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/10/1994 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/06/1994 Docket/ Case Number: CMS 940052 AWC Allegations: Current Status: Final Resolution: Consent Resolution Date: 10/10/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #CMS940052 AWC LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) ALLEGES VIOLATIONS OF PART V, SECTION 2(d) OF SCHEDULE D FOR ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. THE COMPLAINT WAS FILED ON JUNE 6, 1994, AND ACCEPTED BY THE NBCC ON OCTOBER 10, 1994. THE FIRM WAS FINED $5,000. THE AWC BECAME FINAL ON OCTOBER 10, 1994. ***$5,000 PAID ON 12/15/94 INVOICE #94-MS-706*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 03/30/1994 Docket/ Case Number: CMS 940052 AWC Allegations: ALLEGEDLY DURING THE PERIOD OF MARCH 30, 1994 THROUGH MAY 2, 1994 SMITH BARNEY INC. ENTERED QUOTATIONS INTO THE NASDAQ SYSTEM THAT WERE NOT REASONABLY RELATED TO THE PREVAILING NASD BrokerCheck October 14, 2005 Page 201 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) MARKET. THE ALLEGED QUOTATIONS CONTAINED SPREADS WHICH WERE IN EXCESS OF THE MAXIMUM ALLOWABLE SPREADS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/23/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: ON JUNE 23, 1994 THE NASD ACCEPTED AN AWC SUBMITTED BY SMITH BARNEY INC. THE FIRM PAID A FINE IN THE AMOUNT OF $5,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ON JUNE 22, 1994 SMITH BARNEY INC. ENTERED INTO AN AWC WITH THE NASD AND CONSENTED TO PAY A FINE IN THE AMOUNT OF $5,000.00. ****** REGULATORY ACTION (232 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/06/1994 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/06/1994 Docket/ Case Number: C04940017 Allegations: Current Status: Final Resolution: Consent Resolution Date: 07/06/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: Summary: ON JULY 6, 1994, DISTRICT NO. 4 NOTIFIED SMITH BARNEY, HARRIS UPHAM CO., INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C04940017 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $5,000 - (ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER FAILED TO ADEQUATELY AND PROPERLY SUPERVISE A SALES REPESENTATIVE IN THAT RESPONDENT MEMBER FAILED TO ADOPT AND IMPLEMENT ADEQUATE WRITTEN SUPERVISORY PROCEDURES TO REQUIRE SPECIFIC ACTION ON THE PART OF BRANCH OFFICE MANAGERS WITH RESPECT TO CUSTOMER ACCOUNTS WHICH APPEAR ON THE CUSTOMER STATEMENT EXCEPTION REPORT). ***$5,000 PAID ON 8/3/94 INVOICE #94-04-478.*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 07/01/1990 Docket/ Case Number: C04940017 Allegations: ALLEGEDLY, SMITH BARNEY INC. VIOLATED ARTICLE III, SECTIONS 1 AND 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Current Status: Final Resolution: Settled Resolution Date: 07/06/1994 NASD BrokerCheck October 14, 2005 Page 202 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: ON JULY 6, 1994 THE MATTER WAS SETTLED AND SMITH BARNEY INC. WAS CENSURED AND CONSENTED TO A FINE OF $5,000.00. Summary: SMITH BARNEY WAS CENSURED AND CONSENTED TO A FINE OF $5,000.00. ****** REGULATORY ACTION (233 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/02/1994 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/06/1993 Docket/ Case Number: CMS 940012 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 05/31/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #CMS940012 AWC LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) ALLEGE VIOLATIONS OF SECTION c)2(D) OF THE RULES OF PRACTICE AND PROCEDURE FOR SOES IN THAT THE RESPONDENTS ENTERED ORDERS ON AN AGENCY BASIS INTO SOES FOR SECURITIES IN WHICH THEY WERE REGISTERED MARKET MAKERS. THE COMPLAINT WAS FILED ON 2/17/94 AND ACCEPTED BY THE NBCC ON 5/31/94, WHEREBY SMITH BARNEY SHEARSON, INC. WAS FINED $3,000. **$3,000 PAID ON 7/6/94 INVOICE #MS94-0012** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 10/06/1993 Docket/ Case Number: CMS 940012 AWC Allegations: ALLEGEDLY DURING THE PERIOD OCTOBER 6, 1993 THROUGH NOVEMBER 16, 1993 SMITH BARNEY INC. ON 64 OCCASIONS ENTERED ORDERS ON AN AGENCY BASIS INTO THE SOES SYSTEM CONTRARY TO THE PROVISIONS OF THE RULES AND OF PRACTICE AND PROCEDURE FOR SOES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 02/17/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: ON OR ABOUT FEBRUARY 17, 1994 THE NASD ACCEPTED AN AWC SUBMITTED BY SMITH BARNEY FOR ALLEGEDLY ENTERING ORDERS ON AN AGENCY BASIS INTO THE SOES SYSTEM CONTRARY TO THE PROVISIONS OF THE RULES AND OF PRACTICE AND PROCEDURES FOR SOES. THE FIRM PAID A FINE IN THE AMOUNT OF $3,000.00. NASD BrokerCheck October 14, 2005 Page 203 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SMITH BARNEY INC. ENTERED INTO AN AWC WITH THE NASD AND CONSENTED TO THE IMPOSITION OF A FINE IN THE AMOUNT OF $3,000.00. ****** REGULATORY ACTION (234 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/11/1994 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/01/1991 Docket/ Case Number: C11920029 Allegations: Current Status: Final Resolution: Consent Resolution Date: 04/11/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: Summary: ON APRIL 11, 1994, DISTRICT NO. 11 NOTIFIED SMITH BARNEY SHEARSON, INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11920029 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $5,000 - (ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE - IN CONTRAVENTION OF THE BOARD OF GOVERNORS FREE-RIDING AND WITHHOLDING INTERPRETATION, RESPONDENT MEMBER FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF COMMON STOCKS IN THAT THE FIRM SOLD SHARES OF TWO HOT ISSUES TO A RESTRICTED ACCOUNT). ***$5,000 PAID ON 5/23/94, INVOICE #94-11-308. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 01/25/1994 Docket/ Case Number: COMPLAINT NO. C11920029 - AWC Allegations: VIOLATION OF THE ASSOCIATION'S FREE RIDING AND WITHHOLDING INTERPRETATION Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/25/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: PER AN AWC ACCEPTED ON JANUARY 25, 1994, PREDECESSOR FIRM SMITH BARNEY SHEARSON INC. WAS FINED $5,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY SHEARSON INC. ACCEPTED AN AWC ON JANUARY 25, 1994 AND WAS FINED $5,000.00. ****** REGULATORY ACTION (235 of 263) ****** NASD BrokerCheck October 14, 2005 Page 204 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 03/04/1994 Initiated By: HEARING PANEL Date initiated: 03/04/1994 Docket/ Case Number: 94-11 Allegations: VIOLATED EXCHANGE RULE 345.17(b) BY FAILING TO TIMELY FILE AMENDMENTS TO FORM U-5; RULE 351(a) BY NOT PROMPTLY REPORTING A MATTER AS REQUIRED BY THE RULE; RULE 342(a) AND (b) BY FAILING TO MAINTAIN APPROPRIATE PROCEDURES FOR SUPERVISION AND CONTROL WITH RESPECT TO ITS OBLIGATION TO PROMPTLY REPORT MATTERS AS REQUIRED BY EXCHANGE RULES. Current Status: Final Resolution: Consent Resolution Date: 03/04/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: CONSENT TO CENSURE, $50,000 FINE AND COMPLIANCE WITH UNDERTAKING REGARDING FIRM POLICIES AND PROCEDURES. Summary: CONSENT TO CENSURE, A FINE OF $50,000 AND COMPLIANCE WITH ITS UNDERTAKING TO (i) IMPLEMENT POLICIES AND APPROPRIATE PROCEDURES THAT WOULD REASONABLY ENSURE THAT THE FIRM PROMPTLY REPORTS TO THE EXCHANGE MATTERS AS REQUIRED BY RULES 345 AND 351 ON FORMS U-5 AND RE-3, (ii) CONDUCT AN INTERNAL REVIEW TO BE CONCLUDED WITHIN A PERIOD OF SIX MONTHS FROM THE EFFECTIVE DATE OF THE DECISION ISSUED IN THIS MATTER TO DETERMINE IF ALL MATTERS REPORTABLE PURSUANT TO RULES 345 AND 351 ON FORMS U-5 AND RE-3 HAVE BEEN REPORTED, AND TO THE EXTENT NECESSARY MAKE SUCH ADDITIONAL FILINGS, AND (iii) REPORT TO THE EXCHANGE AT THE END OF THE SIX MONTH PERIOD WITH RESPECT TO ITS REVIEW AND THAT ALL REQUIRED REPORTS HAVE BEEN MADE. CONTACT: PEGGY GERMINO (212)656-8450 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 10/02/1993 Docket/ Case Number: EXCHANGE HEARING PANEL DECISION 94-11 Allegations: ALLEGATION THAT BETWEEN JULY 1992 AND JUNE 1993 THE FIRM FAILED TO PROMPTLY REPORT TO THE NYSE INFORMATION REQUIRED TO BE REPORTED PURSUANT TO NYSE RULES 345 AND 351(A) AND FAILED TO ESTABLISH AND MAINTAIN APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL, INCLUDING A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW WITH RESPECT TO ITS REQUIREMENT TO PROMPTLY REPORT MATTERS ON FORMS U-5 AND RE-3. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/18/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Other Sanctions: COMPLIANCE WITH UNDERTAKING REGARDING THE FIRM'S POLICIES AND PROCEDURES RELATING TO THE FILING OF FORMS U-5 AND RE-3. Resolution Details: ON OR ABOUT JANUARY 18, 1994 THE FIRM CONSENTED TO CENSURE, A $50,000.00 FINE AND COMPLIANCE WITH AN UNDEERTAKING REGARDING SMITH BARNEY SHEARSON INC.'S POLICIES AND PROCEDURES RELATING TO THE FILING OF FORMS U-5 AND RE-3. NASD BrokerCheck October 14, 2005 Page 205 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: ON OR ABOUT JANUARY 18, 1994 SMITH BARNEY SHEARSON INC. CONSENTED TO A $50,000.00 FINE AND A STIPULATION OF FACTS. ****** REGULATORY ACTION (236 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/07/1993 Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 02/01/1993 Docket/ Case Number: C093-0031 Allegations: Respondent, Smith Barney Harris Upham & Co. Inc. conducted investment advisory business in Alabama while not registered. Current Status: Final Resolution: Consent Resolution Date: 04/07/1993 Sanctions Ordered: Disgorgement/Restitution Resolution Details: Respondent violated Code of Alabama, 1975, Section 8-6-3(b) by transacting business in this state as an unregtistered investment adviser. Respondent also violated Code of Alabama, 1975, Section 8-6-3(c) by employing unregistered investment adviser representatives while unregistered in this state. Summary: The Alabama Securities Commission and Respondent agree to enter into a consent agreement whereby Respondent's registration as an investment adviser is approved in this state upon compliance with the following conditions: (1) Respondent will make offers of restitution to Alabama customers. (2) Respondent will pay $52,500 to the State of Alabama and the Alabama Securities Commission for costs and administrative assessments. (3) Respondent will pay $3,200 to the Alabama Securities Commission for 1991 and 1992 investment adviser and investment adviser representative registration fees. (4) Respondent agrees to pay for one on-site examiniation of its investment advisory business as determined by the the Alabama Securities Commission. (5) Respondent agrees to comply with the examination requirements of the Alabama Securities Commission. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 02/01/1993 Docket/ Case Number: C093-0031 Allegations: ALLEGATION THAT SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO REGISTER AS AN INVESTMENT ADVISEER SINCE JANUARY 1, 1991, AND FAILED TO REGISTER CERTAIN OF ITS EMPLOYEES AS INVESTMENT ADVISOR REPS. IN ALABAMA SINCE JANUARY 1, 1991. Current Status: Final Resolution: Consent Resolution Date: 04/03/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: $5,700.00 FEIMBURSEMENT OF INVESTIGATIONS COSTS; PAYMENT OF RESTITUTION TO ALABAMA CLIENTS EARNING LESS THAN A 6% ANNUALIZED RATE OF RETURN; BIRMINGHAM BOM REQUIRED TO TAKE AND PASS SERIES 65 EXAM; THIRTY DAY PROHIBITION OF NEW ALABAMA ADVISORY ACCOUNTS; NOTIFICATION OF INVESTMENT ADVISORY ALABAMA NASD BrokerCheck October 14, 2005 Page 206 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) LAW REQUIREMENTS TO SPECIFIC SUPERVISORY PERSONNEL. Resolution Details: BIRMINGHAM BOM REQUIRED TO TAKE AND PASS SERIES 65 EXAM; THIRTY DAY PROHIBITION OF NEW ALABAMA ADVISORY ACCOUNTS; $50,000.00 FINE AND $5,700.00 REIMBURSEMENT OF INVESTIGATION COSTS; RESTITUTION TO ALABAMA CLIENTS EARNING LESS THAN A 6% ANNUALIZED RATE OF RETURN. Summary: THE ORDER, IN WHICH SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED NEITHER ADMITTED NOR DENIED THE COMMISSION'S ALLEGATIONS, GRANTED THE FIRM'S APPLICATION FOR REGISTRATION AS AN ALABAMA INVESTMENT ADVISER UPON SATISFACTION OF THE SPECIFIC CONDITIONS. ****** REGULATORY ACTION (237 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/10/1992 Initiated By: WA Date initiated: 04/01/1992 Docket/ Case Number: SDO 20-92 Allegations: FAILURE TO SUPERVISE EMPLOYEES Current Status: Final Resolution: Consent Resolution Date: 06/10/1992 Sanctions Ordered: Resolution Details: COMPANY TO PROVIDE MONTHLY COPIES SUPERVISORY CUSTOMER STATEMENT EXCEPTION REPORTS FOR PERIOD 1 YEAR Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF WASHINGTON SECURITIES DIVISION Date initiated: 04/01/1992 Docket/ Case Number: SD020-92 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY INC.'S SALESPERSONS AT AN OFFICE IN THE STATE OF WASHINGTON VIOLATED THE PROVISIONS OF RCW 21.20.110(7) BY ENGAGING IN UNETHICAL PRACTICES AND THAT THE FIRM FAILED TO SUPERVISE REASONABLY THE ACTIVITIES OF SECURITIES SALESPERSONS. Current Status: Final Resolution: Order Resolution Date: 06/10/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $750.00 Other Sanctions: WASHINGTON SECURITIES DIVISION TO BE PROVIDED WITH COPIES OF SUPERVISORY CUSTOMER STATEMENT EXCEPTION REPORTS AND CUSTOMER RECORDS WITHIN 30 DAYS FOLLOWING THEIR REQUEST AND COPIES OF ANY WRITTEN CUSTOMER COMPLAINT RECEIVED BY THE BELLEVUE, WASHINGTON OFFICE Resolution Details: ON JUNE 10, 1992 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO A CONSENT AGREEMENT AND AGREED TO 1) PROVIDE COPIES OF SUPERVISORY CUSTOMER STATEMENT EXCEPTION REPORTS AND CUSTOMER NASD BrokerCheck October 14, 2005 Page 207 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) RECORDS WITHIN 30 DAYS FOLLOWING THE DIVISION'S WRITTEN REQUEST, FOR ONE YEAR FROM THE DATE OF ENTRY OF THE CONSENT ORDER; 2) PROVIDE COPIES OF ANY WRITTEN CUSTOMER COMPLAINTS RECEIVED BY THE BELLEVUE, WASHINGTON OFFICE FOR TWO YEARS FROM THE DATE OF ENTRY OF THE ORDER AND 3) PAID $750.00 AS REIMBURSEMENT FOR THE DIVISION'S COSTS. Summary: ON JUNE 10, 1992 PREDECESSOR FIRM SMITH BARNEY INC. ENTERED INTO A CONSENT AGREEMENT AND AGREED TO 1) PROVIDE SUPERVISORY CUSTOMER STATEMENT EXCEPTION REPORTS AND CUSTOMER RECORDS WITHIN 30 DAYS FOLLOWING THE DIVISION'S WRITTEN REQUEST; 2) PROVIDE COPIES OF ANY WRITTEN CUSTOMER COMPLAINTS RECEIVED BY THE BELLEVUE WASHINGTON OFFICE AND 3) PAID $750.00 AS REIMBURSEMENT FOR THE DIVISION'S COSTS. ****** REGULATORY ACTION (238 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/04/1992 Initiated By: MT SECURITIES DEPT. Date initiated: 06/04/1992 Docket/ Case Number: 6-11-91-14 Allegations: FAILURE TO REASONABLY SUPERVISE SALESMEN IN THE FIRM'S SAN FRANCISCO, CA BRANCH OFFICE. Current Status: Final Resolution: Consent Resolution Date: 06/04/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: CONSENT AGREEMENT ENTERED, THROUGH WHICH, WITHOUT ADMITTING NOR DENYING THE ALLEGATIONS, FIRM AGREED TO ABIDE BY THE MONTANA SECURITIES ACT IN THE FUTURE AND PAY A FINE OF $1,000.00. Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES DEPARTMENT OF MONTANA Date initiated: 05/01/1991 Docket/ Case Number: 6-11-91-14 Allegations: ALLEGATION THAT SMITH BARNEY, HARRIS UPHAM & CO. INC. FAILED TO REASONABLY SUPERVISE SALESPERSONS IN THE FIRM'S SAN FRANCISCO BRANCH OFFICE. Current Status: Final Resolution: Order Resolution Date: 04/28/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO AN ADMINISTRATIVE FINE OF $1,000.00. Summary: PER A CONSENT ORDER, THE FIRMPAID AN ADMINSITRATIVE FINE OF $1,000.00. NASD BrokerCheck October 14, 2005 Page 208 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (239 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/06/1992 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/04/1991 Docket/ Case Number: CMS910200 AWC Allegations: Current Status: Final Resolution: Consent Resolution Date: 03/06/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $750.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #CMS910200 AWC (A): LETTER OF ACCEPTANCE: WAIVER AND CONSENT FILED DECEMBER 4, 1991 AGAINST RESPONDENT MEMBER SMITH BARNEY, HARRIS UPHAM & CO., INC. ALLEGING VIOLATIONS OF PART VI, SECTION 5(a) OF SCHEDULE D IN THAT RESPONDENTS FAILED TO REPORT THEIR NASDAQ VOLUME: THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON FEBRUARY 20, 1992 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON MARCH 6, 1992. ***$750.00 FINED*** ***$750.00 PAID ON 4/27/92 INVOICE #92-MS-312*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD - MARKET SURVEILLANCE COMMITTEE Date initiated: 12/04/1991 Docket/ Case Number: CMS910200 AWC Allegations: ALLEGED VIOLATIONS OF PART VI, SECTION 5(A) OF SCHEDULE D IN THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO REPORT THEIR NASDAQ VOLUME. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 02/20/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $750.00 Resolution Details: THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON FEBRUARY 20, 1992. THE FIRM PAID A FINE OF $750.00 ON APRIL 27, 1992. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM ACCEPTED AN AWC AND WAS FINED $750.00. ****** REGULATORY ACTION (240 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/28/2000 Initiated By: SECURITIES AND EXCHANGE COMMISSION NASD BrokerCheck October 14, 2005 Page 209 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 01/16/1992 Docket/ Case Number: Allegations: VIOLATIONS OF CERTAIN BROKER-DEALER RECORD-KEEPING PROVISIONS OF THE SECURITIES EXCHANGE ACT OF 1934 Current Status: Final Resolution: Order Resolution Date: 01/16/1992 Sanctions Ordered: Cease and Desist/Injunction Other Sanctions: SHALL CONTINUE TO MAINTAIN OR, SIXTY (60) DAYS OF THE DATE OF THIS ORDER, DEVELOP, IMPLEMENT AND, THEREAFTER, MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE 6 SMITH BARNEY'S FUTURE COMPLIANCE WITH GSE-DEBT LAW. Resolution Details: CIVIL PENALTY OF $100,000 Summary: [TOP] +3/12/92+ SEC NEWS DIGEST, ISSUE 92-11, DATED 01/16/1992 ADMINISTRATIVE PROCEEDINGS DISCLOSES; SEC TODAY ANNOUNCED ADMINISTRATIVE PROCEEDINGS INSTITUTED JOINTLY BY SEC, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) AND THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (FRB) AGAINST 98 REGISTERED BROKER-DEALERS, REGISTERED GOVERNMENT SECURITIES BROKERS AND/OR AND BANKS (RESPONDENTS); THE ISSUANCE OF SEC, OCC AND FRB ORDERS IMPOSING SANCTIONS, WHICH INCLUDE PROVISIONS DIRECTING THE RESPONDENTS TO CEASE AND DESIST FROM COMMITTING FUTURE VIOLATIONS AND REQUIRING THE PAYMENT OF CIVIL PENALTIES TO THE US TREASURY IN THE TOTAL AMOUNT OF $5,165,000; AND SEC?S ISSUANCE OF A REPORT PURSUANT TO SECTION 21(A) OF THE SECURITIES EXCHANGE ACT OF 1934 REGARDING THE DISTRIBUTION OF CERTAIN DEBT SECURITIES (DEBT) ISSUED BY GOVERNMENT-SPONSORED ENTERPRISES (GSES). THE ADMINISTRATIVE PROCEEDINGS RESULT FROM THE RESPONDENTS' ALLEGED VIOLATIONS OF CERTAIN BROKER-DEALER RECORD-KEEPING PROVISIONS OF THE SECURITIES EXCHANGE ACT OF 1934 (GSE-DEBT LAW) +3/20/92+ SEC DOCKET VOLUME 50 NO. 12, DATED 01/28/1992 DISCLOSES ADMINISTRATIVE FILE NO. 3-7646 PAGES 1183 & 1184; IT IS HEREBY ORDERED THAT SMITH BARNEY SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATION, AND FROM COMMITTING OR CAUSING ANY FUTURE VIOLATIONS, OF GSE-DEBT LAW IN CONNECTION GSE DEBT, PAY A CIVIL PENALTY OF $100,000 TO THE US TREASURY. SHALL CONTINUE TO MAINTAIN OR, SIXTY (60) DAYS OF THE DATE OF THIS ORDER, DEVELOP, IMPLEMENT AND, THEREAFTER, MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE 6 SMITH BARNEY'S FUTURE COMPLIANCE WITH GSE-DEBT LAW. SUCH POLICIES AND PROCEDURES SHALL BE AVAILABLE FOR SEC INSPECTION ANDSMITH BARNEY SHALL COMPLY WITH ALL SUCH POLICIES AND PROCEDURES, WHICH MAY BE MODIFIED IF REASONABLY DESIGNED TO ENSURE SMITH BARNEY'S FUTURE COMPLIANCE WITH GSE-DEBT LAW. ****** REGULATORY ACTION (241 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/11/1991 Initiated By: VIRGINIA - STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 10/11/1991 Docket/ Case Number: SEC910122 Allegations: ALLEGED THAT FIRM EXECUTED TRANSACTIONS WITHOUT AUTHORITY TO DO SO; EXECUTED TRANSACTIONS WITHOUT A PROPER MARGIN AGREEMENT. UTILIZED AN AGREEMENT TITLED "SECURITIES ACCOUNT AGREEMENT" WHICH WAS MISLEADING TO VIRGINIA INVESTORS; ALLEGATIONS ARE IN VIOLATION OF COMMISSION RULES 305A.4. AND A. 6. AND SECTION 13.1-502 OF THE VIRGINIA SECURITIES ACT. Current Status: Final Resolution: Consent Resolution Date: 10/11/1991 NASD BrokerCheck October 14, 2005 Page 210 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Sanctions Ordered: Resolution Details: WITHOUT ADMITTING OR DENYING ALLEGATIONS, FIRM HAS REQUESTED TO MAKE AN OFFER OF RESCISSION TO VIRGINIA INVESTOR, PAY COSTS OF INVESTIGATION, AND REVISE AGREEMENT. Summary: CONTACT BRIAN SILVERMAN, BROKER-DEALER EXAMINER, 804-371-8415. ****** REGULATORY ACTION (242 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/27/1991 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/22/1991 Docket/ Case Number: MS-1051-AWC Allegations: Current Status: Final Resolution: Consent Resolution Date: 06/27/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $250.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-1051-AWC (A) LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED FEBRUARY 22, 1991 AGAINST RESPONDENT MEMBER SMITH BARNEY, HARRIS UPHAM & CO., INC. ALLEGING VIOLATIONS OF PART VI, SECTION 5(a) OF SCHEDULE D IN THAT RESPONDENTS FAILED TO REPORT THEIR NASDAQ VOLUME. THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON MAY 1, 1991 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON JUNE 27, 1991. $250.00 FINE. ***$250.00 PAID ON 9/17/91 INVOICE #91-MS-901*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 09/17/1991 Docket/ Case Number: ACTION NO. MS-1051 AWC Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO REPORT THE NASDAQ VOLUME IN ONE SECURITY ON OCTOBER 25, 1990. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/17/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $250.00 Resolution Details: AN AWC WAS ENTERED INTO AND ON JUNE 27, 1991 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS FINED IN THE AMOUNT OF $250.00 BY THE NASD. Summary: AN OFFER OF ACCEPTANCE WAS ENTERED INTO AND WITHOUT ADMITTING OR DENYING THE ALLEGATIONS PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PAID A FINE IN THE AMOUNT OF NASD BrokerCheck October 14, 2005 Page 211 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) $250.00. ****** REGULATORY ACTION (243 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/28/1991 Initiated By: SOUTH DAKOTA SECURITIES DIVISION Date initiated: 08/30/1990 Docket/ Case Number: Unknown Allegations: SOUTH DAKOTA ISSUED AN ORDER TO SHOW CAUSE AGAINST SMITH BARNEY AUGUST 30, 1990 AS A RESULT OF ITS ACTIONS IN HANDLING THE ACCOUNT OF WILLIAM AND JAMES CLEMENTS AND AS A RESULT OF ITS FAILURE TO PROPERLY INFORM THE SECURITIES DIVISION REGARDING THE PROBLEMS IN THAT ACCOUNT. THE PROBLEMS INVOLVED THE FAILURE TO DELIVER FOREIGN SECURITIES AND THE FAILURE TO PROPERLY CREDIT BONUS RIGHTS IN THOSE SECURITIES. SMITH BARNEY HAS CHANGED ITS PROCEDURES REGARDING FOREIGN SECURITIES, HAS PAID RESTITUTION TO THE CUSTOMERS, AND PAID THE SECURITIES DIVISION $2500 AS REIMBURSEMENT FOR THE COSTS OF INVESTIGATION. THIS WAS DONE BY CONSENT ORDER. THE ORDER TO SHOW CAUSE HAS NOW BEEN VACATED. Current Status: Final Resolution: Consent Resolution Date: 05/28/1991 Sanctions Ordered: Disgorgement/Restitution Resolution Details: A CONSENT ORDER WAS SIGNED AND THE ORDER TO SHOW CAUSE HAS BEEN VACATED. Summary: A CONSENT ORDER WAS ISSUED AND THE ORDER TO SHOW CAUSE WAS VACATED. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF SOUTH DAKOTA - DEPT. OF COMMERCE & REGULATION Date initiated: 08/30/1990 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED FAILED TO DELIVER PHYSICAL POSSESSION OF A SECURITY TO A SOUTH DAKOTA RESIDENT. Current Status: Final Resolution: Settled Resolution Date: 05/01/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Other Sanctions: UNDERTAKINGS DESIGNED TO PREVENT A RECURRENCE OF THE PROBLEM Resolution Details: THE MATTER WAS SETTLED IN MAY 1991 AND PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED AGREED TO IMPLEMENT UNDERTAKINGS DESIGNED TO PREVENT A RECURRENCE OF THE PROBLEM. THE FIRM PAID $2,500.00 TO COVER ADMINISTRATIVE COSTS. Summary: THE MATTER WAS SETTLED IN MAY 1991 AND PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED AGREED TO IMPLEMENT UNDERTAKINGS DESIGNED TO PREVENT A RECURRENCE OF THE PROBLEM AND TO PAY $2,500.00 FOR ADMINISTRATIVE COSTS. NASD BrokerCheck October 14, 2005 Page 212 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (244 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/06/1989 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/22/1988 Docket/ Case Number: NY-7009 Allegations: Current Status: Final Resolution: Decision Resolution Date: 10/06/1989 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: Summary: COMPLAINT NO. NY-7009 FILED DECEMBER 22, 1988 BY DISTRICT NO. 12 AGAINST RESPONDENTS SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED, GWEN VALLELY, LISA A. DAVIS AND JOHN D. GREENE ALLEGING VIOLATIONS OF ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER, ACTING THROUGH RESPONDENT VALLELY, FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION AT THE PUBLIC OFFERING PRICE OF SHARES WHICH TRADED IN AN IMMEDIATE PREMIUM IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO RESPONDENT GREENE, AND RESPONDENT MEMBER, ACTING THROUGH RESPONDENT DAVIS, SOLD SHARES TO RESPONDENT DAVIS' BROTHER, WHICH ACCOUNTS WERE RESTRICTED UNDER THE BOARD OF GOVERNORS' INTERPRETATION WITH RESPECT TO FREE-RIDING AND WITHHOLDING. DECISION RENDERED AUGUST 22, 1989, WHEREIN RESPONDENTS SMITH BARNEY, HARRIS UPHAM & CO., GWEN VALLELY AND JOHN D. GREENE ARE CENSURED AND RESPONDENT MEMBER IS FINED $5,000.00; VALLELY IS FINED $1,000.00 AND GREENE IS FINED $2,500.00; AND, RESPONDENTS SMITH BARNEY, VALLELY AND GREENE ARE EACH ASSESSED COSTS OF $302.00. IF NO FURTHER ACTION, DECISION IS FINAL OCTOBER 6, 1989. DECISION RENDERED AUGUST 22, 1989, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY RESPONDENT LISA A. DAVIS WAS ACCEPTED; THEREFORE, SHE IS CENSURED AND FINED $1,500.00. SEPTEMBER 7, 1989 - APPEALED TO THE BOARD OF GOVERNORS. NOVEMBER 6, 1989 - APPEAL WITHDRAWN OCTOBER 6, 1989 - DECISION IS FINAL. ***$5,302.00 PAID ON 9/26/90 INVOICE #89-12-611*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD - BUSINESS CONDUCT COMMITTEE Date initiated: 08/01/1989 Docket/ Case Number: DISTRICT BCC ACTION NO. NY-7009 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED, A FORMER REGISTERED EMPLOYEE AND A CURRENT REGISTERED EMPLOYEE VIOLATED THE NASD FREE RIDING INTERPRETATION AND THAT THE FIRM FAILED TO PREVENT THESE EMPLOYEES FROM ALLOCATING SHARES OF AN OVER-THE-COUNTER SECURITY TO CLOSE FAMILY MEMBERS DURING A "HOT" INITIAL PUBLIC OFFERING OF THE STOCK. Current Status: Final Resolution: Decision Resolution Date: 08/27/1989 Sanctions Ordered: Monetary/Fine, Censure NASD BrokerCheck October 14, 2005 Page 213 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $5,000.00 Other Sanctions: FORMER EMPLOYEE WAS CENSURED AND FINED $1,000.00 AND CURRENT EMPLOYEE WAS CENSURED AND FINED $1,500.00. Resolution Details: PER A DECISION REACHED ON AUGUST 27, 1989, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. WAS CENSURED AND FINED $5,000.00. A FORMER EMPLOYEE WAS CENSURED AND FINED $1,000.00 AND A CURRENT EMPLOYEE WAS CENSURED AND FINED $1,500.00. Summary: PER A DECISION REACHED BY THE BUSINESS CONDUCT COMMITTEE ON AUGUST 27, 1989, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. WAS CENSURED AND FINED $5,000.00. A FORMER EMPLOYEE WAS CENSURED AND FINED $1,000.00 AND A CURRENT EMPLOYEE WAS CENSURED AND FINED $1,500.00. ****** REGULATORY ACTION (245 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/29/1986 Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 04/29/1986 Docket/ Case Number: Unknown Allegations: Current Status: Final Resolution: Decision Resolution Date: 04/29/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: 01/12/89>SEC LITIGATION, ACTIONS AND PROCEEDINGS BULLETIN FOR THE QUARTER ENDING 06/30/86 (VOLUME 52, BULLETIN 02, PAGE 246) DISCLOSES: THE CBOE FINED SMITH BARNEY $1,000.00 ON APRIL 29, 1986 BASED ON A VIOLATION OF EXCHANGE RULE 9.68. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE - BUSINESS CONDUCT COMMITTEE Date initiated: 09/01/1989 Docket/ Case Number: N/A Allegations: ALLEGED VIOLATION BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED OF CHICAGO BOARD OF TRADE REGULATION 285.05 AND CAPITAL RULE 251.F WHICH REQUIRE THAT A FIRM SECURE WRITTEN APPROVAL OF THE BUSINESS CONDUCT COMMITTEE BEFORE MAKING A PRE-PAYMENT UNDER A SUBORDINATION AGREEMENT Current Status: Final Resolution: Decision Resolution Date: 09/13/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: ON SEPTEMBER 13, 1989 THE BUSINESS CONDUCT COMMITTEE CONCLUDED A VIOLATION HAD OCCURRED AND FINED PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED $1,000.00 NASD BrokerCheck October 14, 2005 Page 214 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Summary: PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAIVED ITS RIGHT TO A HEARING AND ON SEPTEMBER 13, 1989 THE CHICAGO BOARD OF TRADE BUSINESS CONDUCT COMMITTEE CONCLUDED A VIOLATION HAD OCCURRED AND FINED THE FIRM $1,000.00 ****** REGULATORY ACTION (246 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/27/2004 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 03/06/1985 Docket/ Case Number: (REL. 34-21813 Allegations: SEC NEWS DIGEST, ISSUE 85-44, MARCH 6, 1985: THE COMMISSION INSTITUTED ADMINISTRATIVE PROCEEDINGS AGAINST SMITH BARNEY, HARRIS UPHAM & CO., INC. FOR FAILING REASONABLY TO SUPERVISE A REGISTERED REPRESENTATIVE IN THE FIRM'S RHINELAND, WISCONSIN BRANCH OFFICE. THE PROCEEDINGS AROSE FROM THE SALE OF UNCOVERED CALL OPTION CONTRACTS FOR CITIES SERVICE COMPANY IN JUNE 1982 BY A SALESMAN IN SMITH BARNEY'S RHINELANDER OFFICE AND THE FAILURE OF SMITH BARNEY REASONABLY TO SUPERVISE THE SALESMAN'S OPTIONS TRADING ACTIVITIES. Current Status: Final Resolution: Consent Resolution Date: 03/06/1985 Sanctions Ordered: Censure Other Sanctions: UNDERTAKINGS Resolution Details: SIMULTANEOUSLY WITH THE INSTITUTION OF THESE PROCEEDINGS, SMITH BARNEY CONSENTED TO THE COMMISSION'S ORDER WITHOUT ADMITTING OR DENYING ANY OF THE FACTS OR FINDINGS. THE ORDER CENSURED SMITH BARNEY AND ORDERED IT TO: MAINTAIN CERTAIN CURRENT COMPLIANCE PROCEDURES; CONDUCT A REVIEW OF SPECIFIC COMPLIANCE AREAS; IMPLEMENT PROCEDURES WHICH THE REVIEW INDICATES ARE APPROPRIATE; AND PROVIDE TO THE COMMISSION A REPORT SUMMARIZING SUCH REVIEW. Summary: . *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES EXCHANGE COMMISSION Date initiated: 03/05/1985 Docket/ Case Number: N/A Allegations: ALLEGED FAILURE OF PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED TO SUPERVISE THE OPTIONS TRADING ACTIVITIES OF A REGISTERED INDIVIDUAL. Current Status: Final Resolution: Settled Resolution Date: 03/05/1985 Sanctions Ordered: Censure Resolution Details: ON MARCH 5, 1985 THE SEC ACCEPTED AN OFFER OF SETTLEMENT BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED AND THE FIRM WAS CENSURED. Summary: ON MARCH 5, 1985 THE SEC ACCEPTED AN OFFER OF SETTLEMENT BY PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED NASD BrokerCheck October 14, 2005 Page 215 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) AND, WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE. ****** REGULATORY ACTION (247 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/01/2003 Initiated By: MASSACHUSETTS Date initiated: 10/17/1988 Docket/ Case Number: E-88-36 Allegations: VIOLATING THE REGISTRATION PROVISIONS OF THE ACT. Current Status: Final Resolution: Decision Resolution Date: 10/17/1988 Sanctions Ordered: Censure Resolution Details: PURSUANT TO THE AUTHORITY GRANTED BY M.G.L. C.110A, THE MASSACHUSETTS SECURITIES DIVISION HAS ISSUED AN ORDER REPRIMANDING SMITH BARNEY, HARRIS UPHAM & CO., INC., FOR VIOLATING THE REGISTRATION PROVISIONS OF THE ACT. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF MASSACHUSETTS SECURITIES DIVISION Date initiated: 10/01/1988 Docket/ Case Number: DOCKET NO. E-88-36 Allegations: ALLEGATION THAT 150 SHARES OF AN OVER-THE-COUNTER SECURITY SOLD TO A RESIDENT OF MASSACHUSETTS AS PART OF AN INITIAL PUBLIC OFFERING WERE NOT REGISTERED IN THE STATE PURSUANT TO THE PROVISIONS OF SECTION 301 OF THE MASS. GENERAL LAWS. Current Status: Final Resolution: Decision Resolution Date: 10/17/1988 Sanctions Ordered: Other Sanctions: 1) REPRIMAND OF PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED AND ORDER TO MAINTAIN PROCEDURES TO PREVENT A REOCCURRANCE; 2) FIRM TO PROVIDE WRITTEN NOTICE WITHIN 45 DAYS TO ALL MASSACHUSETTS ACCOUNT EXECUTIVES OF THE REQUIREMENTS OF THE ACT RELATING TO THE REGISTRATION OF INITIAL PUBLIC OFFERINGS. Resolution Details: PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS REPRIMANDED, REQUIRED TO MAINTAIN PROCEDURES TO PREVENT A REOCCURRANCE AND PROVIDE WITHIN 45 DAYS TO ALL ACCOUNT EXECUTIVES WRITTEN NOTICE OF THE REQUIREMENTS OF THE ACT RELATING TO THE REGISTRATION OF INITIAL PUBLIC OFFERINGS. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CONSENTED TO THE OCTOBER 17, 1988 DECISION OF THE COMMONWEALTH OF MASSACHUSETTS SECURITIES DIVISION THAT THE FIRM BE REPRIMANDED, MAINTAIN PROCEDURES TO PREVENT A REOCCURRANCE AND PROVIDE WITHIN 45 DAYS TO ALL ACCOUNT EXECUTIVES WRITTEN NOTICE OF THE REQUIREMENTS OF THE ACT RELATING TO THE REGISTRATION OF INITIAL PUBLIC OFFERINGS. NASD BrokerCheck October 14, 2005 Page 216 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (248 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/22/1987 Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 12/22/1987 Docket/ Case Number: 87-0119 Allegations: Current Status: Final Resolution: Consent Resolution Date: 12/22/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,500.00 Resolution Details: Summary: 1/30/88-CBOE LETTER OF CONSENT IN THE MATTER OF: SMITH BARNEY, HARRIS UPHAM & CO., INC., and JOHN F. VALLIADES, SUBJECTS; FILE NO. 87-0119. IN ORDER TO RESOLVE THIS PROCEEDING PURSUANT TO CBOE RULE 17.3, EXPEDITED PROCEEDING, THE SUBJECTS SUBMITTED THIS LETTER OF CONSENT IN THE ABOVE CAPTIONED MATTER. ONLY FOR THE PURPOSES OF THIS PROCEEDING AND WITHOUT ADMITTING OR DENYING THAT A VIOLATION OF EXCHANGE RULES HAD BEEN COMMITTED, THE SUBJECTS CONSENTED TO THE STIPULATION OF FACTS AND FINDINGS AND SANCTION SET FORTH BELOW. DURING ALL RELEVANT PERIODS HEREIN, THE APPLICABLE POSITION LIMIT IN THE INTERNATIONAL BUSINESS MACHINES CORP. ("IBM") CLASS OF OPTION CONTRACTS WAS 8,000 CONTRACTS ON THE SAME SIDE OF THE MARKET. ON SEVERAL DATES, A PUBLIC CUSTOMER OF SMITH BARNEY AND VALLIADES, EXCEEDED THOSE LIMITS BY CONTROLLING LONG CALL POSITION OF IBM OPTION CONTRACTS AS FOLLOWS: 2/18/87-10,610; 2/19/87-11,368; 2/20/87-9,110; 2/24/87-8,525; 2/28/87-8,825; 2/26/87-10,041; 2/27/87-9,000; AND, 3/2/87-9,000. THE ACTS, PRACTICES AND CONDUCT DESCRIBED ABOVE CONSTITUTE VIOLATIONS OF EXCHANGE RULE 4.11 BY SMITH BARNEY AND VALLIADES. SANCTION: $5,500 FINE. ORDER DATED DECEMBER 22, 1987. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF OPTIONS EXCHANGE Date initiated: 11/12/1987 Docket/ Case Number: FILE NO. 87-0119 Allegations: ALLEGATION OF VIOLATION OF POSITION LIMITS ON IBM OPTIONS CONTRACTS FOR THE PERIOD 02/18/1987 TO 02/02/1987 Current Status: Final Resolution: Settled Resolution Date: 02/04/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,500.00 Resolution Details: SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED CONSENTED TO A FINE IN THE AMOUNT OF $5,500.00. Summary: SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PAID A FINE IN THE AMOUNT OF $5,500.00. NASD BrokerCheck October 14, 2005 Page 217 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (249 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/30/1986 Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 05/15/1986 Docket/ Case Number: 86-0038 Allegations: Current Status: Final Resolution: Consent Resolution Date: 12/30/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: 12/17/86 - COPY OF 'DECISION DISMISSING ONE ALLEGED VIOLATION EXCHANGE RULE 9.6(b) FROM THE STATEMENT OF CHARGES, FILE NO. 86-0038', CHICAGO BOARD OPTIONS EXCHANGE, INC. - IN THE MATTER OF SMITH BARNEY, HARRIS UPHAM & CO. INC.: THE RESPONDENT IS ALLEGED TO HAVE TRANSACTED OPTIONS BUSINESS WITH THE PUBLIC WHEN ITS MANAGER OF THE INDIANAPOLIS, INDIANA AND, ROSEBURG, OREGON, BRANCH OFFICES (EACH WITH MORE THAN THREE REGISTERED REPRESENTATIVES) WAS NOT QUALIFIED AS A REGISTERED OPTIONS PRINCIPAL ("ROP"). PURSUANT TO THE RESPONDENT'S REQUEST FOR DISMISSAL OF THOSE ALLEGATIONS, THE BUSNINESS CONDUCT COMMITTEE WAS ADVISED OF ADDITIONAL FACTS WHICH INDICATES THAT THE VIOLATION PERTAINING TO THE INDIANAPOLIS, INDIANA BRANCH OFFICE AROSE OUT OF A MISIDENTIFICATION OF THE BRANCH MANAGER. THEREFORE, DURING THE TIME PERIOD INVOLVED, THE INDIANAPOLIS BRANCH MANAGER WAS QUALIFIED AS A ROP. BASED UPON THE ABOVE FACTS WHICH INDICATE SMITH BARNEY DID NOT VIOLATE EXCHANGE RULE 9.6(b) WITH RESPECT TO THE INDIANAPOLIS, INDIANA BRANCH OFFICE, THE COMMITTEE DEEMS IT APPROPRIATE TO DISMISS THE ALLEGATIONS PERTAINING TO THAT OFFICE. THIS DOES NOT AFFECT THE ALLEGATION CONCERNING A VIOLATION OF RULE 9.6(b) IN CONNECTION WITH THE ROSEBURG, OREGON BRANCH OFFICE HOWEVER. ********* 3/24/87-ADDITIONAL INFORMATION RECEIVED REGARDING CBOE FILE NO. 86-0038, IN THE MATTER OF SMITH BARNEY, HARRIS UPHAM & CO., INC. 'DECISION ACCEPTING OFFER OF SETTLEMENT': DURING THE PERIOD FROM ON OR ABOUT OCTOBER 29, 1985 THROUGH ON OR ABOUT JANUARY 16, 1986, THE ROSENBURG, OREGON BRANCH OFFICE OF SMITH BARNEY, WHICH HAD MORE THAN 3 REGISTERED REPRESENTATIVES, TRANSACTED OPTIONS BUSINESS WITH THE PUBLIC WHEN THE MANAGER OF THAT BRANCH OFFICE WAS NOT QUALIFIED AS A REGISTERED OPTIONS PRINCIPAL. THE COMMITTEE HAS DETERMINED TO ACCEPT THE RESPONDENT'S OFFER OF SETTLEMENT BASED UPON ITS MAKING THE FOLLOWING CONCLUSIONS: 1) THE ACTS, PRACTICES AND CONDUCT DESCRIBED ABOVE CONSTIT*See FAQ #1* *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 05/15/1986 Docket/ Case Number: FILE NO. 86-0038 Allegations: ALLEGATION OF VIOLATION OF EXCHANGE RULE 9.6 Current Status: Final Resolution: Settled Resolution Date: 12/30/1986 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 14, 2005 Page 218 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Monetary Amount: $1,000.00 Resolution Details: ON DECEMBER 30, 1986 PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THE MATTER AND PAID A FINE OF $1,000.00. Summary: PREDECESSOR FIRM SETTLED THIS MATTER AND PAID OF FINE OF $1,000.00. ****** REGULATORY ACTION (250 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/10/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/11/1986 Docket/ Case Number: MS-348-AWC Allegations: Current Status: Final Resolution: Consent Resolution Date: 09/10/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: Summary: 8/24/86: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-348-AWC: LETTER OF ACCEPTANCE WAIVER AND CONSENT (AWC) WAS FILED ON 6/11/86, ALLEGING VIOLATIONS OF PART I, SECTION C.3.(c) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT (SMITH BARNEY, HARRIS UPHAM & CO., INC.) FAILED TO REPORT ITS NASDAQ VOLUME IN TWO SECURITIES ON 2/26/86, AND IN THREE SECURITIES ON 3/20/86. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON 8/6/86 AND BY THE NBCC ON 9/10/86. 11/18/86: $2,000 FINE PAID 7/16/86 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 07/03/1986 Docket/ Case Number: AWC ACTION NO. MS-348 Allegations: ALLEGATION OF FAILURE TO REPORT VOLUMES PURSUANT TO PART 1, SECTION C3(C) OF SCHEDULE D OF THE NASD'S BY-LAWS. Current Status: Final Resolution: Settled Resolution Date: 07/03/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PAID A FINE OF $2,000.00. Summary: ON JULY 3, 1986 TTHE AWC WAS ACCEPTED AND SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PAID A FINE OF $2,000.00. NASD BrokerCheck October 14, 2005 Page 219 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (251 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/19/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/27/1986 Docket/ Case Number: MS-247-AWC Allegations: Current Status: Final Resolution: Consent Resolution Date: 05/19/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: 6/23/86: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-247-AWC FILED 1/27/86: LETTER OF ACCEPTANCE, WAIVER AND CONSENT ISUED ON JANUARY 27, 1986, ALLEGING VIOLATIONSO OF PART I, SECTION C.3.(c) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT FAILED TO REPORT IS NASDAQ VOLUME ON 10/3/85., 11/14/85, 11/21/85, 12/5/85 AND 12/12/85. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON 4/7/86 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON 5/19/86. $1,000 FINE RECEIVED 3/5/86 ***3/17/86. NFC# 85, PAID IN FULL. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 02/26/1986 Docket/ Case Number: AWC ACTION NO. MS-247 Allegations: ALLEGED FAILURE OF PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED TO REPORT VOLUMES PURSUANT TO PART 1 SECTION C 3(C) OF SCHEDULE D OF THE NASD.S BY-LAWS Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 02/26/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: THE NASD ACCEPTED AN AWC ON FEBRUARY 26, 1986 AND PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED PAID A FINE OF $1,000.00. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED SETTLED THIS MATTER ON FEBRUARY 26, 1986 AND PAID A FINE OF $1,000.00. ****** REGULATORY ACTION (252 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/29/1968 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD BrokerCheck October 14, 2005 Page 220 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 08/29/1968 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 08/29/1968 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: Summary: THE DBCC FOR DISTRICT 2, NASD REVOKED THE REGISTRATION OF A FORMER REPRESENTATIVE, SUSPENDED AND FINED ANOTHER AND CENSURED AND FINED HARRIS UPHAM & CO, INCORPORATED $50,000 AND ASSESSED THE COST OF THE PROCEEDING AGAINST HARRIS UPHAM AND THE TWO REPRESENTATIVES. THE DECISION WAS APPEALED TO THE BOARD OF GOVERNORS AND THE FINDINGS WERE AFFIRMED BUT THE FINE AGAINST HARRIS UPHAM WAS REDUCED FROM $50,000 TO $20,000. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 08/28/1969 Docket/ Case Number: N/A Allegations: FAILURE TO SUPERVISE A PARTNER AND A REGISTERED REPRESENTATIVE IN THE HANDLING OF A CUSTOMER'S ACCOUNTS IN WHICH THE NASD FOUND EXCESSIVE ACTIVITY Current Status: Final Resolution: Decision Resolution Date: 08/28/1969 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: ON AUGUST 28, 1969 PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED'S PREDECESSOR PARTNERSHIP WAS CENSURED AND FINED $20,000.00. Summary: ON AUGUST 28, 1969 PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED'S PREDECESSOR PARTNERSHIP WAS CENSURED AND FINED $20,000.00. ****** REGULATORY ACTION (253 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/03/1963 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/03/1963 Docket/ Case Number: 115 Allegations: Current Status: Final NASD BrokerCheck October 14, 2005 Page 221 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution: Decision Resolution Date: 04/03/1963 Sanctions Ordered: Resolution Details: Summary: COMPLAINT #115 FILED 4-3-63 (B.O. PORTLAND, OR) FINAL *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/23/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/03/1963 Docket/ Case Number: 115 Allegations: N/A - ALL FILES UNAVAILABLE DUE TO THE AGE OF THIS ITEM Current Status: Final Resolution: Decision Resolution Date: 04/03/1963 Sanctions Ordered: Resolution Details: Summary: COMPLAINT NO. 115 FILED 04/03/1963. ALL INFORMATION HAS BEEN TRANSFERRED FROM FORM U-6 DATA PROVIDED BY THE CRD TO CGMI. CGMI HAS NO WAY TO INDEPENDENTLY VERIFY THE ACCURACY OF THE INFORMATION DUE TO THE AGE OF THIS MATTER. AT CRD'S REQUEST, CGMI IS FILING THE INFORMATION CONTAINED ON THE U-6 FOR THE FIRM. ****** REGULATORY ACTION (254 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/18/1970 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 05/18/1970 Docket/ Case Number: Unknown Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/18/1970 Sanctions Ordered: Censure, Suspension Resolution Details: Summary: FIRM CENSURED, CERTAIN ACTIVITIES OF CHICAGO B/O SUSPENDED 7 DAYS BEGINNING 5/18/70 BY SEC (ADMN PROC.) ****** REGULATORY ACTION (255 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/27/1975 NASD BrokerCheck October 14, 2005 Page 222 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/04/1974 Docket/ Case Number: N-SE-14 Allegations: Current Status: Final Resolution: Decision Resolution Date: 01/27/1975 Sanctions Ordered: Resolution Details: Summary: NASDAQ COMPLAINT N-SE-14 FILED 12-4-74 ACCEPTED 12-11-74 FINAL 1-27-75 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/23/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/04/1974 Docket/ Case Number: N-SE-14 Allegations: N/A - ALL FILES UNAVAILABLE DUE TO THE AGE OF THIS ITEM. Current Status: Final Resolution: Decision Resolution Date: 01/27/1975 Sanctions Ordered: Resolution Details: Summary: NASD COMPLAINT N-SE-14 ACCEPTED 12/11/1974. ALL INFORMATION HAS BEEN TRANSFERRED FROM FORM U-6 DATA PROVIDED BY THE CRD TO CGMI. CGMI HAS NO WAY TO INDEPENDENTLY VERIFY THE ACCURACY OF THE INFORMATION DUE TO THE AGE OF THIS MATTER. AT CRD'S REQUEST, CGMI IS FILING THE INFORMATION CONTAINED ON THE U-6 FOR THE FIRM. ****** REGULATORY ACTION (256 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/27/1973 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/13/1972 Docket/ Case Number: N-V-159 Allegations: Current Status: Final Resolution: Decision Resolution Date: 02/13/1973 Sanctions Ordered: Monetary/Fine Monetary Amount: $25.00 NASD BrokerCheck October 14, 2005 Page 223 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Resolution Details: Summary: NASDAQ COMPLAINT N-V-159 FILED 4-13-72 7-17-72 FINED $25.00 2-13-73 FINAL 2-27-73 PAID *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/23/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/13/1972 Docket/ Case Number: N-V-159 Allegations: N/A - ALL FILES UNAVAILABLE DUE TO THE AGE OF THIS ITEM Current Status: Final Resolution: Decision Resolution Date: 02/13/1973 Sanctions Ordered: Monetary/Fine Monetary Amount: $25.00 Resolution Details: THE FIRM PAID A FINE IN THE AMOUNT OF TWENTY-FIVE DOLLARS ($25.00). Summary: NASDAQ COMPLAINT N-V-159 FILED 04/13/1972. ALL INFORMATION HAS BEEN TRANSFERRED FROM FORM U-6 DATA PROVIDED BY THE CRD TO CGMI. CGFMI HAS NO WAY TO INDEPENDENTLY VERIFY THE ACCURACY OF THE INFORMATION DUE TO THE AGE OF THIS MATTER. AT CRD'S REQUEST, CGMI IS FILING THE INFORMATION CONTAINED ON THE U-6 FOR THE FIRM. ****** REGULATORY ACTION (257 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/10/1974 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/26/1973 Docket/ Case Number: N-BA-44 Allegations: Current Status: Final Resolution: Decision Resolution Date: 09/10/1974 Sanctions Ordered: Monetary/Fine Monetary Amount: $250.00 Resolution Details: Summary: NASDAQ COMPLAINT N-BA-44 FILED 11-26-73 9-10-74: FINED $250, COST OF PROCEEDINGS $166.90 9-10-74: FINAL *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/23/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/26/1973 NASD BrokerCheck October 14, 2005 Page 224 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Docket/ Case Number: N-BA-44 Allegations: N/A - ALL FILES UNAVAILABLE DUE TO THE AGE OF THIS ITEM Current Status: Final Resolution: Decision Resolution Date: 09/10/1974 Sanctions Ordered: Monetary/Fine Monetary Amount: $250.00 Other Sanctions: PAYMENT OF ONE HUNDRED SIXTY-SIX DOLLARS ($166.00) TO COVER THE COST OF THE PROCEEDINGS. Resolution Details: FINE IN THE AMOUNT OF TWO HUNDRED FIFTY DOLLARS ($250.00) AND PAYMENT OF ONE HUNDRED SIXTY-SIX DOLLARS ($166.00) TO COVER THE COST OF THE PROCEEDINGS. Summary: NASDAQ COMPLAINT N-BA-44 FILED 11/26/1973. ALL INFORMATION HAS BEEN TRANSFERRED FROM FORM U-6 DATA PROVIDED BY THE CRD TO CGMI. CGMI HAS NO WAY TO INDEPENDENTLY VERIFY THE ACCURACY OF THE INFORMATION DUE TO THE AGE OF THIS MATTER. AT CRD'S REQUEST, CGMI IS FILING THE INFORMATION CONTAINED ON THE U-6 FOR THE FIRM. ****** REGULATORY ACTION (258 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/06/1974 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/06/1974 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 08/06/1974 Sanctions Ordered: Censure, Suspension Resolution Details: Summary: ND 73-140 12-13-73 REL. 34-10537 ADMINISTRATIVE PROCEEDINGS ORDERED ALLEGING REGISTANT'S FAILURE TO PROPERLY SUPERVISE. ND 74-152 8-6-74 REL. 34-10930 CENSURED REGISTRANT AND SUSPENDED ITS BRANCH OFFICE AT 445 PARK AVENUE FROM ENGAGING IN OVER-THE-COUNTER STOCK ACTIVITIES, EXCEPT FOR UNSOLICITED OR MUTUAL FUND TRANSACTIONS FOR 15 DAYS BEGINNING 8-12-74. CONSENTED TO THE ORDER WITHOUT ADMITTING OR DENYING THE CHARGES. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES EXCHANGE COMMISSION Date initiated: 08/06/1974 Docket/ Case Number: N/A Allegations: ALLEGATION THAT PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED FAILED TO SUPERVISE ONE ITS FORMER SALESMEN SO AS TO PREVENT HIM FROM ALLEGED VIOLATIONS OF THE ANTI-FRAUD PROVISIONS OF THE SECURITIES ACTS IN CONNECTION WITH NASD BrokerCheck October 14, 2005 Page 225 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) TRANSACTIONS IN AN OVER-THE-COUNTER SECURITY. Current Status: Final Resolution: Settled Resolution Date: 08/06/1974 Sanctions Ordered: Censure, Suspension Other Sanctions: PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED'S BRANCH OFFICE IN NEW YORK SUSPENDED FROM ENGAGING IN OVER-THE-COUNTER STOCK ACTIVITIES EXCEPT FOR UNSOLICITED AND MUTUAL FUND TRANSACTIONS. Resolution Details: PURSUANT TO A SETTLEMENT OFFER, ON AUGUST 6, 1974 THE SEC CENSURED PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED AND SUSPENDED A BRANCH OFFICE FROM ENGAGING IN OVER-THE-COUNTER STOCK ACTIVITIES FOR A PERIOD OF 15 CALENDAR DAYS COMMENCING AUGUST 12, 1974. Summary: PURSUANT TO A SETTLEMENT OFFER, ON AUGUST 6, 1974 PREDECESSOR FIRM HARRIS UPHAM & CO. INCORPORATED WAS CENSURED AND A BRANCH OFFICE WAS SUSPENDED FOR A PERIOD OF 15 CALENDAR DAYS FROM ENGAGING IN OVER-THE-COUNTER STOCK ACTIVITIES EXCEPT FOR UNSOLICITED AND MUTUAL FUND TRANSACTIONS. ****** REGULATORY ACTION (259 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/28/1973 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/30/1972 Docket/ Case Number: 455 Allegations: Current Status: Final Resolution: Decision Resolution Date: 08/28/1973 Sanctions Ordered: Monetary/Fine Resolution Details: Summary: COMPLAINT #455 FILED 6-30-72 8-28-73: RIGHTS WAIVED: FINAL 9-17-73: PAID (FC# 5287) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD BUSINESS CONDUCT COMMITTEE - DISTRICT NO. 4 Date initiated: 07/28/1989 Docket/ Case Number: COMPLAINT NO. KC-455 Allegations: ALLEGATION THAT THE MANAGER OF THE FIRM'S CLAYTON, MISSOURI BRANCH FAILED TO SUPERVISE A BROKER DURING THE PERIOD 1982 THROUGH 1985; THE FIRM ALLEGEDLY FAILED TO SUPERVISE THE BRANCH MANAGER AND THAT AN EMPLOYEE FAILED TO RESPOND TO NASD'S INFORMATION REQUEST IN A TIMELY MANNER. Current Status: Final Resolution: Settled Resolution Date: 06/01/1990 Sanctions NASD BrokerCheck October 14, 2005 Page 226 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Other Sanctions: JOINT AND SEVERAL FINES. Resolution Details: AS TO THE FIRST COMPLAINT, THE FIRM AND THE BRANCH MANAGER CONSENTED TO CENSURE AND JOINT AND SEVERAL FINES. IN THE SECOND COMPLAINT, THE FIRM CONSENTED TO CENSURE AND A FINE OF $10,000.00. Summary: ON JULY 28, 1989 THE FIRM ACCEPTED AN OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. ****** REGULATORY ACTION (260 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/19/1977 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 07/19/1977 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 07/19/1977 Sanctions Ordered: Resolution Details: Summary: ND 77-138 7/19/77 REL 34 13770, 13769 PUBLIC ADMINISTRATIVE PROCEEDINGS ORDERED. THE FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS TO FINDINGS THAT IT VIOLATED THE BOOKS AND RECORDS PROVISIONS OF THE SECURITIES EXCHANGE ACT OF 1934 AND HAS BEEN ORDERED BY THE COMMISSION TO INSTITUTE CERTAIN RECORDKEEPING PROCEDURES TO AVOID A REPETITION OF THIS TYPE OF SITUATION. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES EXCHANGE COMMISSION Date initiated: 07/19/1977 Docket/ Case Number: ADM. PROC. FILE 35259, SEC REL. 13770 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INC., TOGETHER WITH NUMEROUS OTHER BROKER-DEALERS, VIOLATED FEDERAL RECORDKEEPING REQUIREMENTS IN VIOLATION OF SECTION 17(A) OF THE 1934 ACT AND RULE 17A-3 THEREUNDER. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 07/19/1977 Sanctions Ordered: Other Sanctions: THE FIRM WAS ORDERED TO ADOPT AND MAINTAIN CERTAIN RECORDKEEPING PROCEDURES. Resolution Details: N/AON Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ON JULY 7, 1977 THE FIRM CONSENTED TO A FINDING THAT IT VOLATED THE REFERENCED NASD BrokerCheck October 14, 2005 Page 227 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) RECORDKEEPING REQUIREMENTS AND AGREED TO ADOPT AND MAINTAIN CERTAIN RECORDKEEPING PROCEDURES. ****** REGULATORY ACTION (261 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/02/1981 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/06/1979 Docket/ Case Number: K-216 Allegations: Current Status: Final Resolution: Decision Resolution Date: 02/02/1981 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $750.00 Resolution Details: Summary: COMPLAINT #K-216 FILED 9-6-79 DISTRICT #4 2-2-81: CENSURED; FINED $750.00 2-2-81: ALL RIGHTS WAIVED 2-2-81: FINAL 3-24-81: FC# 7897 PAID *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD Date initiated: 09/06/1979 Docket/ Case Number: COMPLAINT NO. K-216 Allegations: ALLEGATION THAT PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED VIOLATED VARIOUS PROVISIONS OF THE RULES OF FAIR PRACTICE TRADING DESK TRANSACTIONS AND FAILURE TO SUPERVISE THE CONDUCT OF ITS EMPLOYEES Current Status: Final Resolution: Decision Resolution Date: 02/02/1981 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $750.00 Resolution Details: ON FEBRUARY 2, 1981 A DECISION WAS RENDERED AND PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS FINED $750.00 AND CENSURED Summary: ON FEBRUARY 2, 1981 AFTER A HEARING, THE DISCIPLINARY PANEL UPHELD THE FORMER CHARGE AND DISMISSED THE LATTER CHARGE. PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED WAS FINED $750.00 AND CENSURED. ****** REGULATORY ACTION (262 of 263) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/06/1981 Initiated By: CHICAGO BOARD OF OPTION EXCHANGE NASD BrokerCheck October 14, 2005 Page 228 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 REGULATORY ACTIONS(cont.) Date initiated: 11/26/1980 Docket/ Case Number: 80-0102 Allegations: Current Status: Final Resolution: Consent Resolution Date: 03/06/1981 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: Summary: CBOE # 80-0102 3-6-81: OFFER OF SETTLEMENT SUBMITTED AND ACCEPTED 3-6-81: FINED $1,500 3-6-81: ALL RIGHTS WAIVED *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 11/26/1980 Docket/ Case Number: 80-0102 Allegations: PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED ALLEGEDLY ALLOWED OPTIONS ACCOUNTS TO TRADE PRIOR TO WRITTEN APPROVAL Current Status: Final Resolution: Decision Resolution Date: 03/06/1981 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Other Sanctions: LETTER OF CAUTION Resolution Details: ON MARCH 6, 1981 THE CHICAGO BOARD OPTIONS EXCHANGE FINED PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED $7,500.00 AND ISSUED A LETTER OF CAUTION. Summary: ON MARCH 6, 1981 THE CHICAGO BOARD OPTIONS EXCHANGE FINED PREDECESSOR FIRM SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED $7,500.00 AND ISSUED A LETTER OF CAUTION. NASD BrokerCheck October 14, 2005 Page 229 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 ******************************************************************************** CIVIL JUDICIAL ACTIONS ******************************************************************************** DISCLOSURE INFORMATION This section contains information regarding civil judicial actions that were reported to CRD. These actions are disclosable through NASD BrokerCheck and include injunctions issued by a foreign or domestic court in connection with investment-related activity, a finding by a domestic or foreign court of a violation of any investment-related statute(s) or regulation(s), and actions dismissed by a domestic or foreign court pursuant to a settlement agreement. Some of the fields in this section of the report may be blank if the information was not provided to CRD. ** OCCURRENCE COUNTS ** 2 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Reporting Source: The form through which details of the civil judicial action was reported to CRD. * Date Reported: The date the civil judicial action was reported to CRD. * Initiated By: The party that initiated the civil judicial action (e.g., regulator, foreign financial regulatory authority, self-regulatory organization, commodities exchange, etc.). * Date Initiated: Date the civil judicial action was initiated or filed. * Court Details: Details regarding the court the action was brought in (e.g., name and location of court, docket/case number, etc.). * Employing Brokerage Firm: Brokerage Firm where individual broker was employed when activity occurred that led to the civil judicial action. * Allegations: Allegations made against the individual broker leading to the civil judicial action. * Current Status: The current status of the civil judicial action (i.e., pending, on appeal or final). * Resolution: The resolution of the civil judicial action (e.g., consent, dismissed, judgment rendered, settled, withdrawn, etc.). * Resolution Date: The date the civil judicial action was resolved. * Sanction Details: Additional details regarding any sanctions ordered. * Summary: Details of the circumstances related to the civil judicial action. ******************************************************************************** ****** CIVIL JUDICIAL ACTION (1 of 2) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/03/2003 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date Initiated: 04/28/2003 Court Details: SECURITIES AND EXCHANGE COMMISSION V. CITIGROUP GLOBAL MARKETS INC., F/K/A SALOMON SMITH BARNEY INC., 03 CV 2945 (WHP) (S.D.N.Y.) Allegations: SEC LITIGATION RELEASE NO. 18111, DATED APRIL 28, 2003; WHEN SSB SECURED INVESTMENT BANKING BUSINESS, RESEARCH ANALYSTS WERE EXPECTED TO PROVIDE FAVORABLE COVERAGE OF SSB'S INVESTMENT BANKING CLIENTS. THESE BUSINESS PRACTICES CREATED A CULTURE IN WHICH INVESTMENT BANKERS COULD AND DID PRESSURE RESEARCH ANALYSTS TO MAINTAIN COVERAGE OR FAVORABLE RATINGS FOR INVESTMENT BANKING CLIENTS AND CREATED THE INCENTIVE FOR ANALYSTS TO USE RESEARCH TO OBTAIN, RETAIN, AND INCREASE REVENUE FROM INVESTMENT BANKING DEALS; FAILED TO MANAGE THE CONFLICTS CREATED BY ITS PRACTICES; PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS ON TELECOM INVESTMENT BANKING NASD BrokerCheck October 14, 2005 Page 230 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 CIVIL JUDICIAL ACTIONS(cont.) CLIENTS; FAILED TO DISCLOSE MATERIAL FACTS ABOUT THESE COMPANIES, AND CONTAINED MATERIAL MISSTATEMENTS ABOUT THE COMPANIES; FAILED TO MAINTAIN WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE SHARING AND MISUSE OF MATERIAL, NON-PUBLIC INFORMATION BETWEEN A PERSON AFFILIATED WITH SSB WHO SERVED AS A DIRECTOR OF ANOTHER COMPANY AND A SSB RESEARCH ANALYST COVERING THAT COMPANY. SSB, IN A PRACTICE KNOWN AS "SPINNING," PROVIDED PREFERENTIAL ACCESS TO HOT IPO SHARES TO OFFICERS OF EXISTING OR POTENTIAL INVESTMENT BANKING CLIENTS WHO WERE IN A POSITION TO DIRECT THEIR COMPANIES' INVESTMENT BANKING BUSINESS TO SSB. THE OFFICERS SOLD THE SHARES PROVIDED TO THEM FOR SUBSTANTIAL PROFIT. SUBSEQUENTLY, THE COMPANIES FOR WHICH THE OFFICERS WORKED PROVIDED SSB WITH INVESTMENT BANKING BUSINESS. EXECUTIVES OF FIVE TELECOM COMPANIES MADE APPROXIMATELY $40 MILLION IN PROFITS FROM APPROXIMATELY 3.4 MILLION IPO SHARES ALLOCATED FROM 1996-2001, AND SSB EARNED OVER $404 MILLION IN INVESTMENT BANKING FEES FROM THOSE COMPANIES DURING THE SAME PERIOD; CONT. ITEM #14 Current Status: Final Resolution: Judgment Rendered Resolution Date: 10/31/2003 Sanctions Ordered: Monetary/Fine , Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $150,000,000.00 Resolution Details: SEC LITIGATION RELEASE #18438, 10/31/03; IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT DEFENDANT BE PERMANENTLY RESTRAINED AND ENJOINED FROM VIOLATING SECTION 15(C) OF THE EXCHANGE ACT AND RULE 15C1-2 PROMULGATED THEREUNDER [15 U.S.C. 78O(C) AND 17C.F.R. 240.15C1-2] BY MAKING USE OF THE MAILS OR ANY MEANS OR INSTRUMENTALITY OF INTERSTATE COMMERCE TO EFFECT ANY TRANSACTION IN, OR TO INDUCE OR ATTEMPT TO INDUCE THE PURCHASE OR SALE OF, ANY SECURITY BY MEANS OF ANY ACT, PRACTICE, OR COURSE OF BUSINESS WHICH OPERATES OR WOULD OPERATE AS A FRAUD OR DECEIT UPON ANY PERSON. PERMANENTLY RESTRAINED AND ENJOINED FROM VIOLATING SECTION 15(F) OF THE EXCHANGE ACT [15 U.S.C. 78O(F)] BY FAILING TO ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED, TAKING INTO CONSIDERATION THE NATURE OF DEFENDANT'S BUSINESS, TO PREVENT THE MISUSE IN VIOLATION OF THE EXCHANGE ACT OR THE RULES AND REGULATIONS THEREUNDER, OF MATERIAL, NON-PUBLIC INFORMATION BY DEFENDANT OR ANY PERSON ASSOCIATED WITH DEFENDANT. PERMANENTLY RESTRAINED AND ENJOINED, DIRECTLY OR INDIRECTLY, FROM VIOLATING SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER [15 U.S.C. 78Q(A) AND 17C.F.R. 240.17A-3], BY FAILING TO MAKE AND KEEP FOR PRESCRIBED PERIODS SUCH RECORDS. PERMANENTLY RESTRAINED AND ENJOINED FROM VIOLATING RULE 2110 OF THE CONDUCT RULES OF NASD INC. ("NASD") AND RULES 401 AND 476 OF THE NEW YORK STOCK EXCHANGE, INC. ("NYSE"). PERMANENTLY RESTRAINED AND ENJOINED FROM VIOLATING NASD RULES 2210, 3010, 3110 AND NYSE RULES 472, 342, 440. IT IS FURTHER ORDERED THAT DEFENDANT PAY $150,000,000 AS A PENALTY, $150,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $75,000,000 TO BE USED FOR THE PROCUREMENT OF INDEPENDENT RESEARCH, AND $25,000,000 TO BE USED FOR INVESTOR EDUCATION. DEFENDANT SHALL PAY THE FEDERAL PAYMENT OF $150,000,000 BY WIRE TRANSFER INTO AN INTEREST BEARING ACCOUNT WITH THE FEDERAL RESERVE BANK OF NEW YORK ("FRB-NY"). Summary: FAILED TO ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES TO PROTECT RESEARCH ANALYSTS FROM CONFLICTS OF INTEREST FROM ITS INVESTMENT BANKING OPERATION. FAILED TO SUPERVISE ADEQUATELY THE ACTIVITIES OF ITS RESEARCH ANALYSTS AND FAILED TO RESPOND TO INDICATIONS THAT ITS RESEARCH WAS MISLEADING; FAILED TO SUPERVISE ADEQUATELY ITS EMPLOYEES ENGAGED IN SPINNING. SSB HAS AGREED TO SETTLE THE COMMISSION'S ACTION AND HAS CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OF THE COMPLAINT, TO THE ENTRY OF A FINAL JUDGMENT THAT, IF APPROVED BY THE COURT, PERMANENTLY ENJOINS SSB FROM VIOLATIONS OF ANTIFRAUD PROVISION SECTION 15(C) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 15C1-2 THEREUNDER, SECTION 15(F) OF THE EXCHANGE ACT, SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER, AND NASD AND NYSE RULES PERTAINING TO JUST AND EQUITABLE PRINCIPLES OF TRADE (NASD RULE 2110; NYSE RULES 401 AND 476), ADVERTISING (NASD RULE 2210; NYSE RULE 472), BROKER-DEALER RECORD KEEPING (NASD RULE 3110; NYSE RULE 440), AND SUPERVISORY PROCEDURES (NASD RULE 3010; NYSE RULE 342). THE FINAL JUDGMENT ALSO ORDERS THE FIRM TO MAKE THE PAYMENTS DESCRIBED ABOVE, AND PROVIDES FOR THE APPOINTMENT OF A FUND ADMINISTRATOR WHO, SUBJECT TO COURT APPROVAL, WILL FORMULATE AND ADMINISTER A PLAN OF DISTRIBUTION FOR THOSE MONIES PLACED INTO THE DISTRIBUTION FUND. AS PART OF THE SETTLEMENT, SSB HAS AGREED TO PAY $150 MILLION AS NASD BrokerCheck October 14, 2005 Page 231 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 CIVIL JUDICIAL ACTIONS(cont.) DISGORGEMENT AND AN ADDITIONAL $150 MILLION IN PENALTIES. IN ADDITION, SSB WILL PAY, OVER FIVE YEARS, $75 MILLION TO PROVIDE THE FIRM'S CLIENTS WITH INDEPENDENT RESEARCH, AND $25 MILLION TO BE USED FOR INVESTOR EDUCATION. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/17/2003 Initiated By: U.S. SECURITIES AND EXCHANGE COMMISSION Date Initiated: 04/28/2003 Court Details: UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK Allegations: THE SEC ALLEGED VIOLATIONS BY SALOMON SMITH BARNEY INC., NOW KNOWN AS CITIGROUP GLOBAL MARKETS INC. ("SSB") OF CERTAIN SECURITIES LAWS AND REGULATIONS, INCLUDING CERTAIN SRO RULES ARISING OUT OF (1) CERTAIN OF ITS BUSINESS PRACTICES CONCERNING RESEARCH DURING THE PERIOD 1999 THROUGH 2001 AND (2) INITIAL PUBLIC OFFERINGS ("IPOS) DURING THE PERIOD 1996 THROUGH 2000. IT WAS ALLEGED THAT SSB ENGAGED IN CERTAIN BUSINESS PRACTICES THAT CREATED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKING OVER RESEARCH ANALYSTS, THEREBY IMPOSING CONFLICTS OF INTEREST. IT WAS FURTHER ALLEGED THAT SSB PUBLISHED CERTAIN FRAUDULENT RESEARCH REPORTS AND OTHER RESEARCH REPORTS THAT VIOLATED THE APPLICABLE LEGAL OR REGULATORY REQUIREMENTS FOR COMMUNICATION WITH THE PUBLIC. IT WAS ALSO ALLEGED THAT SSB FAILED TO MAINTAIN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NON-PUBLIC INFORMATION IN CERTAIN CIRCUMSTANCES. REGARDING SSB'S HANDLING OF IPOS, IT WAS ALLEGED THAT SSB ENGAGED IN IMPROPER "SPINNING" AND FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS. FINALLY, IT WAS ALLEGED THAT SSB FAILED TO SUPERVISE CERTAIN ASPECTS OF ITS RESEARCH AND IPO ALLOCATION ACTIVITIES. Current Status: Final Resolution: Settled Resolution Date: 10/31/2003 Sanctions Ordered: Monetary/Fine , Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $150,000,000.00 Other Sanctions: IMPLEMENTATION OF CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF THE RESEARCH AND INVESTMENT BANKING DEPARTMENTS; APPOINTMENT OF AN INDEPENDENT MONITOR TO REVIEW COMPLIANCE WITH SUCH REFORMS; MONETARY PAYMENTS FOR PROCUREMENT OF "INDEPENDENT RESEARCH" ($75 MILLION) AND FOR INVESTOR EDUCATION ($25 MILLION). Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN THE SEC'S COMPLAINT, SSB CONSENTED TO THE ENTRY OF A FINAL JUDGMENT THAT: (1) PERMANENTLY ENJOINS SSB FROM VIOLATING CERTAIN PROVISIONS OF THE FEDERAL SECURITIES LAWS AND CERTAIN SRO RULES; (2) ORDERS SSB TO MAKE A TOTAL PAYMENT OF $400 MILLION, CONSISTING OF $150 MILLION AS A PENALTY THAT WILL BE ALLOCATED TO STATES THAT SETTLE WITH SSB, $150 MILLION AS DISGORGEMENT THAT WILL BE PLACED IN A DISTRIBUTION FUND AND DISTRIBUTED TO INVESTORS, $75 MILLION FOR THE PROCUREMENT OF INDEPENENT RESEARCH THAT SSB WILL MAKE AVAILABLE TO INVESTORS, AND $25 MILLION FOR INVESTOR EDUCATION; AND (3) ORDERS SSB TO COMPLY WITH UNDERTAKINGS TO IMPLEMENT CERTAIN STRUCTURAL REFORMS RELATING TO THE OPERATION OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS. SSB ALSO AGREED TO PARTICIPATE IN A VOLUNTARY INITIATIVE PURSUANT TO WHICH IT WILL NO LONGER MAKE ALLOCATIONS OF HOT IPOS TO CORPORATE INSIDERS. Summary: ON APRIL 28, 2003, THE SEC, NASD, NYSE, ATTORNEY GENERAL OF THE STATE OF NEW YORK, AND SEVERAL STATE SECURITIES REGULATORS ANNOUNCED THEIR ACCEPTANCE OF A GLOBAL SETTLEMENT WITH 10 FIRMS, INCLUDING SSB, COMPLETELY AND FINALLY RESOLVING THE RESPECTIVE REGULATORS' INVESTIGATIONS STEMMING FROM ALLEGED CONFLICTS OF INTEREST RESULTING FROM INTERACTIONS BETWEEN EACH FIRM'S RESEARCH AND INVESTMENT BANKING DEPARTMENTS. IN CONNECTION WITH THE APRIL 28, 2003 ANNOUNCEMENT, SSB EXECUTED THE FOLLOWING DOCUMENTS: A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT EXECUTED WITH THE NASD; A STIPULATION AND CONSENT EXECUTED WITH THE NYSE; AN ASSURANCE OF DISCONTINUANCE EXECUTED WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK; AND A COMPLAINT AND CONSENT FILED BY THE SEC IN THE UNITED NASD BrokerCheck October 14, 2005 Page 232 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 CIVIL JUDICIAL ACTIONS(cont.) STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ON APRIL 28, 2003 AND A FINAL JUDGMENT ENTERED BY THE COURT ON OCTOBER 31, 2003. IN THE SEC ACTION, WITHOUT ADMITTING OR DENYING ALLEGATIONS OF THE COMPLAINT, SSB CONSENTED TO THE ENTRY OF THE FINAL JUDGMENT THAT IMPOSES THE SANCTIONS SET FORTH ABOVE IN 13. ****** CIVIL JUDICIAL ACTION (2 of 2) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/03/2002 Initiated By: ORANGE COUNTY, CALIFORNIA Date Initiated: 12/01/1996 Court Details: U.S. BANKRUPTCY COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA Allegations: ALLEGATION THAT DEFENDANTS RECOMMENDED AND SOLD UNSUITABLE SECURITIES. Current Status: Final Resolution: Settled Resolution Date: 05/11/1999 Sanctions Ordered: Other Sanctions: PER SETTLEMENT AGREEMENT, $1,333,333.00 WAS TRANSFERRED TO ESCROW ACCOUNT FOR ORANGE COUNTY, CALIF., REPRESENTING SALOMON SMITH BARNEY'S SHARE OF THE SETTLEMENT. ON THE SAME DATE, $1,333,333.00 WAS TRANSFERRED INTO THE ESCROW ACCOUNT REPRESENTING CITICORP'S SHARE OF THE SETTLEMENT. Resolution Details: TOTAL SETTLEMENT AMOUNT OF $2,666,666.00. $1,333,333.00 REPRESENTED SSB'S PORTION; $1,333,333.00 REPRESENTED CITICORP'S PORTION. FUNDS WERE TRANSFERRED ON 06/03/1999. Summary: NASD BrokerCheck October 14, 2005 Page 233 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 ******************************************************************************** BROKERAGE FIRM ARBITRATIONS ******************************************************************************** DISCLOSURE INFORMATION This section contains summary information regarding arbitration awards rendered in a forum administered by NASD that involve securities or commodities disputes between NASD member firms and public customers. Some of the fields in this section of the report may be blank if the information was not provided to CRD. Unlike the arbitration information required to be reported by individual brokers via Form U-4, brokerage firm arbitration information is not required to be reported on Form BD and is therefore disclosed through NASD BrokerCheck via a slightly different mechanism. Summary information regarding NASD arbitration awards involving securities and commodity disputes between public customers and NASD member firms is updated and disclosed on brokerage firm NASD BrokerCheck reports generally within 10-15 days after the arbitration award is signed and served to all parties. The full text of arbitration awards issued by arbitrators at NASD and at other forums is available online as a cooperative arrangement between NASD Dispute Resolution and the Securities Arbitration Commentator (SAC) at www.nasdadr.com. The awards are generally available within one month after the arbitration award is signed and served to all parties. To access the arbitration award information it is suggested that you first view the summary information available via NASD BrokerCheck, and then use the case number included in NASD BrokerCheck report to access the full text of the award at www.nasdadr.com. ** OCCURRENCE COUNTS ** 1184 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Type of Event: Type of disclosure event (e.g., arbitration) that details pertain to. * Update: An indication (i.e., yes or no) as to whether the information is an update to earlier information reported about the arbitration proceeding. * Arbitration Forum: Forum that administered the arbitration proceeding. * Case Served Date: Date case was served on respondent(s). * Case Number: Case number assigned to the arbitration proceeding. * Allegations: Allegations made by the customer(s) which lead to the arbitration proceeding. * Type of Securities: Type of securities allegations relate to. * Relief Asked: Alleged dollar amount of compensatory damages sought by the customer(s). * Disposition: Disposition of the arbitration proceeding. * Disposition Date: Date of disposition. * Relief Awarded: Details related to the relief awarded to the parties involved in the arbitration proceeding. ******************************************************************************** ** BROKERAGE FIRM ARBITRATION (1 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/19/2004 Case Number: 04-05074 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED NASD BrokerCheck October 14, 2005 Page 234 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $15,861.79 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/12/2005 Relief Awarded: Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (2 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/22/2004 Case Number: 04-04316 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $11,023.87 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $125.00; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (3 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/13/2003 Case Number: 03-07312 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Account Related-Negligence; NASD BrokerCheck October 14, 2005 Page 235 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Account Related - Failure to Supervise Type of Securities: Annuities;Common Stock;Mutual Funds Relief Asked: Treble Damages, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/12/2005 Relief Awarded: Treble Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $276,000.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 10/12/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $30,000.00 ** BROKERAGE FIRM ARBITRATION (4 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/10/2004 Case Number: 04-05913 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Account Related-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,624.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (5 of 1184) ** NASD BrokerCheck October 14, 2005 Page 236 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/06/2004 Case Number: 04-07012 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $480,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $32,960.00; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $49,440.00; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $54,933.00; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief NASD BrokerCheck October 14, 2005 Page 237 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (6 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/2004 Case Number: 04-05257 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,788.49 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (7 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/28/2004 Case Number: 04-01881 Allegations: Account Related-Negligence; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, NASD BrokerCheck October 14, 2005 Page 238 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (8 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/23/2003 Case Number: 03-04851 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,370.91 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (9 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/21/2004 Case Number: 04-05142 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $24,700.51 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 14, 2005 Page 239 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (10 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04835 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $8,803.23 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (11 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/07/2004 Case Number: 04-04694 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,056.62 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (12 of 1184) ** NASD BrokerCheck October 14, 2005 Page 240 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/29/2004 Case Number: 04-02023 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other; Account Related-Breach of Contract; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $35,461.07 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $35,461.07; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (13 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/14/2004 Case Number: 04-04086 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,909.70 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $17,430.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $486.80 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/04/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (14 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/30/2004 NASD BrokerCheck October 14, 2005 Page 241 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 04-06081 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $108,040.56 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $1,425.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (15 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/13/2004 Case Number: 04-05690 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock;Corporate Bonds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $16,112.58 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $6,630.39; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $19,981.17; Punitive/Exemplary Damages, Relief has been awarded (partial or full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief has been awarded (partial or full NASD BrokerCheck October 14, 2005 Page 242 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (16 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/14/2004 Case Number: 04-04920 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,115,269.60 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $913,000.00; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $1,500,000.00; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (17 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/23/2004 Case Number: 04-04088 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock NASD BrokerCheck October 14, 2005 Page 243 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $13,623.73 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $12,530.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $951.79 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $12,530.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $951.79 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $12,530.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $951.79 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/30/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (18 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/22/2003 Case Number: 03-08957 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,426.01 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary NASD BrokerCheck October 14, 2005 Page 244 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,426.01 SEVERALLY ; Other costs, ASKED AMOUNT $175.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 09/26/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $3,426.01; Other costs, Relief has been awarded (partial or full, Award Amount $175.00 ** BROKERAGE FIRM ARBITRATION (19 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/16/2004 Case Number: 04-04158 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $23,588.16 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/19/2005 Relief Awarded: Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (20 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/02/2004 Case Number: 04-04608 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $6,243.84 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $14,980.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $385.19 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 245 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 09/21/2005 Relief Awarded: Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $6,243.84; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $75.00; Actual/Compensatory Damages, Relief has been awarded (partial or full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (21 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/13/2004 Case Number: 04-01797 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $24,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (22 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/25/2004 Case Number: 04-05899 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,849.30 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 246 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (23 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/19/2004 Case Number: 04-05080 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $6,940.27 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $24,990.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $594.68 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/09/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $6,940.27; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (24 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/07/2005 Case Number: 04-07149 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been NASD BrokerCheck October 14, 2005 Page 247 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (25 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06529 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,930.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (26 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05291 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,452.97 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full NASD BrokerCheck October 14, 2005 Page 248 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (27 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/10/2003 Case Number: 03-03877 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Account Related-Negligence; Account Related-Breach of Contract Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $130,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (28 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/05/2005 Case Number: 05-01869 Allegations: Account Related-Breach of Contract; Account Related-Errors-charges; Account Related-Negligence; Account Related-Other Type of Securities: Certificate of Deposit Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,368.00 SEVERALLY ; Interest, ASKED AMOUNT $263.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $1,645.78; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial NASD BrokerCheck October 14, 2005 Page 249 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) or full, Award Amount $75.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (29 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/26/2004 Case Number: 04-02856 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,750,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $34,000.00; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (30 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/22/2005 Case Number: 05-02081 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $162.50 ** BROKERAGE FIRM ARBITRATION (31 of 1184) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/2005 Case Number: 05-01321 NASD BrokerCheck October 14, 2005 Page 250 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Suitability; Account Related-Other Type of Securities: Mutual Funds ** BROKERAGE FIRM ARBITRATION (32 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/17/2004 Case Number: 04-03491 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Margin Calls Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $125,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $67,500.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Actual/Compensatory Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 09/06/2005 8c. Relief Awarded: Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (33 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/26/2004 Case Number: 04-05262 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $14,465.83 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $36,365.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $1,116.75 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief NASD BrokerCheck October 14, 2005 Page 251 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (34 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/08/2004 Case Number: 04-04774 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Corporate Bonds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,994.58 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (35 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/09/2003 Case Number: 03-06275 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary NASD BrokerCheck October 14, 2005 Page 252 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (36 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/14/2004 Case Number: 04-04087 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,675.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $728.62 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $25,970.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (37 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/29/2004 Case Number: 04-03786 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Other; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $4,346.82 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/29/2005 Relief Awarded: Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (38 of 1184) ** NASD BrokerCheck October 14, 2005 Page 253 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05258 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $19,517.50 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 08/29/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $212.50 ** BROKERAGE FIRM ARBITRATION (39 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/06/2005 Case Number: 05-01439 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/25/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (40 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 254 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 09/01/2004 Case Number: 04-06196 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $11,689.13 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (41 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/09/2004 Case Number: 04-04835 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $19,507.63 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/23/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $19,450.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (42 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06548 Allegations: Fraudulent Activity - Omission of Facts Type of Securities: Common Stock NASD BrokerCheck October 14, 2005 Page 255 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $21,893.25 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (43 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04832 Allegations: Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $14,390.54 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $14,390.54; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $125.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (44 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/01/2003 Case Number: 03-08379 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,800,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 256 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/18/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (45 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04834 Allegations: Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,591.24 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/18/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (46 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04827 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,355.90 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/18/2005 NASD BrokerCheck October 14, 2005 Page 257 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $4,355.90; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $50.00; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (47 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/2004 Case Number: 04-06804 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,000,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (48 of 1184) ** Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 258 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 09/29/2004 Case Number: 04-05260 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,567.50 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $9,567.50; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (49 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/13/2005 Case Number: 05-00152 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $21,328.08 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $3,671.90 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief NASD BrokerCheck October 14, 2005 Page 259 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Request has been denied in full ** BROKERAGE FIRM ARBITRATION (50 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/28/2004 Case Number: 04-08670 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other Type of Securities: Common Stock;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $18,042.18 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $6,900.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (51 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/26/2004 Case Number: 04-01206 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $47,241.96 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $2,700.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (52 of 1184) ** NASD BrokerCheck October 14, 2005 Page 260 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/05/2003 Case Number: 03-05644 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $150,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $25,000.00; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (53 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04830 Allegations: Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $16,183.25 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (54 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 261 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 07/06/2004 Case Number: 04-04666 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,414.32 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $1,414.32; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (55 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/30/2004 Case Number: 04-04546 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,626.35 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $4,626.35; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $643.58; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (56 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/09/2004 Case Number: 04-04027 NASD BrokerCheck October 14, 2005 Page 262 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $18,741.30 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/08/2005 Relief Awarded: Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (57 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/06/2004 Case Number: 04-06995 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Account Related-Breach of Contract; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $35,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (58 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/01/2004 Case Number: 04-03815 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock;Corporate Bonds;Mutual Funds;Government Securities NASD BrokerCheck October 14, 2005 Page 263 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $206,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $275,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $120,900.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $148,637.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (59 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/05/2004 Case Number: 04-05505 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $24,031.71 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/01/2005 Relief Awarded: Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (60 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04837 NASD BrokerCheck October 14, 2005 Page 264 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $5,962.58 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (61 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/25/2004 Case Number: 04-05968 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,039.11 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $5,019.56; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $2,500.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $62.50; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (62 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/13/2004 Case Number: 04-04907 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence NASD BrokerCheck October 14, 2005 Page 265 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,469.66 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $870.70; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (63 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/2004 Case Number: 04-03783 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Other; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,834.77 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $9,834.75; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $75.00; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $4,000.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (64 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05283 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,600.51 NASD BrokerCheck October 14, 2005 Page 266 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $4,600.51; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $50.00; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (65 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/02/2004 Case Number: 04-06270 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Account Related-Negligence; Account Related-Breach of Contract Type of Securities: Unknown type of securities;Unknown type of securities;Unknown type of securities;Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,000,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (66 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05257 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $6,913.52 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 267 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 08/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $6,913.52; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $75.00; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $4,000.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (67 of 1184) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/27/2004 Case Number: 04-06054 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $22,728.90 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $22,728.90; Interest, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $13,772.00; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 08/02/2005 8c. Relief Awarded: Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $2,271.10 ** BROKERAGE FIRM ARBITRATION (68 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/02/2004 Case Number: 04-04600 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,032.41 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $778.66 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/01/2005 NASD BrokerCheck October 14, 2005 Page 268 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (69 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/25/2003 Case Number: 03-02205 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (70 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/29/2004 Case Number: 04-03881 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,429.10 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (71 of 1184) ** Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 269 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05264 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $6,346.32 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (72 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/08/2004 Case Number: 04-04010 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $58,656.97 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, NASD BrokerCheck October 14, 2005 Page 270 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 07/27/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $15,978.00; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $225.00; Other costs, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full ** BROKERAGE FIRM ARBITRATION (73 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/12/2004 Case Number: 03-07468 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (74 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/28/2004 Case Number: 04-06775 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise Type of Securities: Unknown type of securities;Unknown type of securities;Unknown type of securities;Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,857.89 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's NASD BrokerCheck October 14, 2005 Page 271 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (75 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/30/2004 Case Number: 04-04567 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,623.28 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (76 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/30/2004 Case Number: 04-04571 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt NASD BrokerCheck October 14, 2005 Page 272 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $14,007.38 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $1,066.99 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $25,690.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/25/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $14,007.38; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (77 of 1184) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/23/2005 Case Number: 05-01493 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Unauthorized Trading Type of Securities: Common Stock;Mutual Funds;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (78 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/08/2003 Case Number: 03-06502 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,030.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 273 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 07/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 07/21/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $7,030.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (79 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/01/2003 Case Number: 03-05296 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $16,683.88 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (80 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/15/2004 Case Number: 04-04119 NASD BrokerCheck October 14, 2005 Page 274 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,255.58 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (81 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/03/2004 Case Number: 04-05446 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Suitability; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,000,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $1,200,000.00; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (82 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/24/2003 Case Number: 03-05313 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation NASD BrokerCheck October 14, 2005 Page 275 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 07/15/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $90,000.00 ** BROKERAGE FIRM ARBITRATION (83 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/03/2005 Case Number: 05-00588 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,019.48 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $15,000.00 SEVERALLY ; Interest, ASKED AMOUNT $3,517.60 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $9,019.48; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $3,608.00; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (84 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/15/2004 Case Number: 04-05247 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent NASD BrokerCheck October 14, 2005 Page 276 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (85 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/13/2005 Case Number: 04-08152 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $162.50 ** BROKERAGE FIRM ARBITRATION (86 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/09/2004 Case Number: 04-04031 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - NASD BrokerCheck October 14, 2005 Page 277 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Omission of Facts; Fraudulent Activity-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,485.92 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $7,485.92; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $1,000.00; Other costs, Relief has been awarded (partial or full, Award Amount $75.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (87 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05294 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $13,425.60 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $62.50; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (88 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05288 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,942.40 NASD BrokerCheck October 14, 2005 Page 278 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (89 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/06/2003 Case Number: 03-07749 Allegations: Fraudulent Activity-Suitability; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $300,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $500,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (90 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04852 Allegations: Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,093.76 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $125.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/27/2005 NASD BrokerCheck October 14, 2005 Page 279 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (91 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/22/2003 Case Number: 03-05254 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $717,024.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (92 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04841 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 280 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $3,558.05; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $37.50; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $2,500.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (93 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/04/1999 Case Number: 99-03891 Allegations: Account Related-Negligence; Fraudulent Activity-Unauthorized Trading; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock;Other types of securities Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $10,000,001.00 SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/23/2005 Relief Awarded: Punitive/Exemplary Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (94 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/16/2004 Case Number: 04-04510 Allegations: Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $13,299.59 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/23/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (95 of 1184) ** NASD BrokerCheck October 14, 2005 Page 281 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/21/2004 Case Number: 04-05143 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Corporate Bonds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $20,497.33 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (96 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/08/2004 Case Number: 04-04779 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,245.26 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $617.32 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $27,580.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $50.00; Attorney's Fees, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/21/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $1,000.00; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $1,000.00 ** BROKERAGE FIRM ARBITRATION (97 of 1184) ** NASD BrokerCheck October 14, 2005 Page 282 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/06/2004 Case Number: 04-04661 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,162.03 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $5,371.02; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $373.18; Other Monetary Relief, Relief has been awarded (partial or full, Award Amount $56.25; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (98 of 1184) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06521 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,604.26 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (99 of 1184) ** Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 283 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/16/2003 Case Number: 03-03455 Allegations: Fraudulent Activity-Other; Fraudulent Activity-Unauthorized Trading; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/20/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $721,119.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $70,000.00 * BROKERAGE FIRM ARBITRATION (100 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/2005 Case Number: 04-08661 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $17,163.83 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $7,800.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $318.75; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been NASD BrokerCheck October 14, 2005 Page 284 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (101 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04831 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,774.76 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (102 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05279 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $14,448.31 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $14,450.94; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other NASD BrokerCheck October 14, 2005 Page 285 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (103 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/28/2004 Case Number: 04-05859 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full 7c. Relief Asked: Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: NO AWARD AGAINST PARTY 8b. Status Date: 06/14/2005 8c. Relief Awarded: Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (104 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/20/2004 Case Number: 04-01034 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $111,970.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $111,970.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Interest, ASKED AMOUNT $0.00 JOINTLY NASD BrokerCheck October 14, 2005 Page 286 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/13/2005 8c. Relief Awarded: Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01 * BROKERAGE FIRM ARBITRATION (105 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/2004 Case Number: 04-05896 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $5,960.19 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (106 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/17/2004 Case Number: 04-08507 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,118.50 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $15,000.00 SEVERALLY ; Interest, ASKED AMOUNT $3,403.53 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 287 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 06/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (107 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/16/2003 Case Number: 03-04221 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $743,085.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/04/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (108 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/30/2004 Case Number: 04-04563 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,722.69 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $579.31 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $20,930.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $7,722.69; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 288 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) 8b. Status Date: 06/06/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $75.00 * BROKERAGE FIRM ARBITRATION (109 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/08/2004 Case Number: 04-01233 Allegations: Account Related - Failure to Supervise; Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Treble Damages, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Treble Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $550,000.00; Interest, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $50,000.00; Treble Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Treble Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/06/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $500.00 * BROKERAGE FIRM ARBITRATION (110 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/17/2004 Case Number: 04-08508 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $8,355.66 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $16,000.00 SEVERALLY ; Interest, ASKED AMOUNT $3,224.76 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been NASD BrokerCheck October 14, 2005 Page 289 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (111 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/19/2004 Case Number: 04-05078 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $53,654.66 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $53,654.66; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $225.00; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (112 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/30/2003 Case Number: 03-05003 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $22,754.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief Request has been denied in full; NASD BrokerCheck October 14, 2005 Page 290 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Non-Monetary Relief, ASKED AMOUNT JOINTLY AND SEVERALLY; Other Non-Monetary Relief, ASKED AMOUNT JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/02/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $10,935.00; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $2,500.00; Other costs, Relief has been awarded (partial or full, Award Amount $62.50; Other Non-Monetary Relief, Relief has been awarded (partial or full, Award Amount ; Other Non-Monetary Relief, Relief has been awarded (partial or full, Award Amount * BROKERAGE FIRM ARBITRATION (113 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04872 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,078.01 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $3,078.01; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $50.00; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (114 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/11/2005 Case Number: 05-00219 Allegations: Fraudulent Activity-Churning; Account Related-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded NASD BrokerCheck October 14, 2005 Page 291 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) (partial or full, Award Amount $25,000.00; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/01/2005 8c. Relief Awarded: Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $425.00 * BROKERAGE FIRM ARBITRATION (115 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/2003 Case Number: 03-07032 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $473,119.93 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (116 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/02/2004 Case Number: 04-07556 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $50,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been NASD BrokerCheck October 14, 2005 Page 292 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (117 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/30/2004 Case Number: 04-01203 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Account Related-Breach of Contract Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $167,547.06 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $500.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $502,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $375.00; Other costs, Relief has been awarded (partial or full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been NASD BrokerCheck October 14, 2005 Page 293 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Other Monetary Relief, Relief has been awarded (partial or full, Award Amount $75,000.00; Other Monetary Relief, Relief has been awarded (partial or full 7c. Relief Asked: Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/27/2005 8c. Relief Awarded: Other Monetary Relief, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full * BROKERAGE FIRM ARBITRATION (118 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/14/2003 Case Number: 03-04913 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,000,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $890,884.45; Interest, Relief has been awarded (partial or full, Award Amount $294,431.21; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (119 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/06/2004 Case Number: 04-06808 Allegations: Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Manipulation Type of Securities: Stock Index Futures;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $98,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $50,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $41,086.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, NASD BrokerCheck October 14, 2005 Page 294 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (120 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/26/2004 Case Number: 04-05988 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,736.59 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (121 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/08/2004 Case Number: 04-04520 Allegations: Account Related-Negligence; Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $750,000.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (122 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 295 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 06/09/2004 Case Number: 04-02385 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $31,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (123 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/14/2003 Case Number: 03-02446 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $7,500.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED NASD BrokerCheck October 14, 2005 Page 296 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (124 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/10/2004 Case Number: 04-03876 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (125 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 297 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/22/2004 Case Number: 04-02691 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,270.58 SEVERALLY ; Treble Damages, ASKED AMOUNT $14,541.16 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $7,173.93; Treble Damages, Relief has been awarded (partial or full, Award Amount $14,347.86; Interest, Relief has been awarded (partial or full, Award Amount $2,627.42; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $8,608.74; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Interest, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/19/2005 8c. Relief Awarded: Interest, Relief has been awarded (partial or full, Award Amount $0.01 * BROKERAGE FIRM ARBITRATION (126 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/28/2004 Case Number: 03-09212 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $350,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Treble Damages, ASKED AMOUNT $700,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Treble Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (127 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 298 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/26/2004 Case Number: 04-01208 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $49,999.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/17/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $49,999.00 * BROKERAGE FIRM ARBITRATION (128 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04866 Allegations: Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,858.13 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $4,858.13; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $4,858.13 * BROKERAGE FIRM ARBITRATION (129 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 299 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 07/10/2003 Case Number: 03-04843 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,580.54 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $9,580.54; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $75.00; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (130 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/24/2003 Case Number: 03-08800 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $128,172.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $22,500.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (131 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/01/2003 NASD BrokerCheck October 14, 2005 Page 300 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-05582 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $397,228.34 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/07/2004 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (132 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/17/2003 Case Number: 03-04084 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $340,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $327,267.77; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $49,950.92; Interest, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $13,066.26; Other costs, Relief has been awarded (partial or full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (133 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/27/2004 Case Number: 04-03744 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $6,100,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $2,000,000.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 301 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/09/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $400,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $600.00; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (134 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/18/2004 Case Number: 04-01533 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Account Related-Negligence; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/09/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $225.00; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (135 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/17/2004 Case Number: 04-04203 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $32,703.76 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary NASD BrokerCheck October 14, 2005 Page 302 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (136 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/30/2003 Case Number: 03-00576 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $227,129.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $680,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (137 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/06/2004 Case Number: 04-04720 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $630,613.24 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 14, 2005 Page 303 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (138 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/29/2004 Case Number: 04-03083 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $57,871.50 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $3,640.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $10,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $12,000.00; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full 7c. Relief Asked: Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/03/2005 8c. Relief Awarded: Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01 * BROKERAGE FIRM ARBITRATION (139 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/18/2004 Case Number: 04-03879 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Other; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $9,104.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 14, 2005 Page 304 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (140 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/10/2003 Case Number: 03-08620 Allegations: Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $25,596.00; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (141 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/03/2003 Case Number: 03-07813 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $55,254.15 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (142 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 305 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 07/30/2003 Case Number: 03-05013 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $23,934.25 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $23,934.25; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $125.00; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (143 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/2004 Case Number: 04-04168 NASD BrokerCheck October 14, 2005 Page 306 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Fraudulent Activity-Suitability; Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Annuities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $76,907.30 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (144 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/22/2004 Case Number: 04-06568 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock;Other types of securities;Mutual Funds;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Treble Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Treble Damages, ASKED AMOUNT $0.00 SEVERALLY ; Treble Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/25/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $85,000.00; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Treble Damages, Relief Request has been denied in full; Treble Damages, Relief Request has been denied in NASD BrokerCheck October 14, 2005 Page 307 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) full; Treble Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (145 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-04871 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $72,167.50 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/25/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (146 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/25/2003 Case Number: 03-02914 Allegations: Account Related-Negligence; Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 NASD BrokerCheck October 14, 2005 Page 308 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (147 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/03/2004 Case Number: 04-03498 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related-Breach of Contract Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $74,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 04/20/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $72,479.52; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $225.00; Other costs, Relief has been awarded (partial or full * BROKERAGE FIRM ARBITRATION (148 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 309 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 12/01/2004 Case Number: 04-08178 Allegations: Fraudulent Activity-Other; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Treble Damages, ASKED AMOUNT $14,413.65 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $4,804.55 SEVERALLY ; Interest, ASKED AMOUNT $3,403.53 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/19/2005 Relief Awarded: Treble Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $4,804.55; Interest, Relief has been awarded (partial or full, Award Amount $3,403.53; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $3,283.23; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (149 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/29/2003 Case Number: 03-06818 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Annuities;Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $204,965.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $62,886.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (150 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/21/2002 NASD BrokerCheck October 14, 2005 Page 310 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-06954 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Unauthorized Trading; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $218,077.59 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (151 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/20/2004 Case Number: 04-00266 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $26,485.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (152 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/28/2003 Case Number: 03-07142 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $153,265.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY NASD BrokerCheck October 14, 2005 Page 311 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (153 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04877 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,144.56 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 14, 2005 Page 312 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (154 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/17/2004 Case Number: 04-06544 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $22,694.97 SEVERALLY ; Interest, ASKED AMOUNT $4,186.92 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $1,853.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $741.00; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $250.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 04/11/2005 8c. Relief Awarded: Other costs, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (155 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/24/2003 Case Number: 03-07500 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $8,900,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full NASD BrokerCheck October 14, 2005 Page 313 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (156 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/04/2003 Case Number: 03-07826 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $45,206.73 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $175.00; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (157 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/28/2004 Case Number: 04-05250 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,209.21 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (158 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 314 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/19/2004 Case Number: 04-02803 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,300,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (159 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05295 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Other-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $76,969.82 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (160 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/01/2004 Case Number: 04-00253 Allegations: Fraudulent Activity-Suitability; Account Related-Breach of Contract; Account Related-Negligence; Fraudulent NASD BrokerCheck October 14, 2005 Page 315 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Activity-Other Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $480,958.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/04/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $193,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $118,000.00; Interest, Relief has been awarded (partial or full, Award Amount $42,500.00; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (161 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06525 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,579.45 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/31/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $50.00; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (162 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/30/2004 Case Number: 04-02079 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Account Related - Failure to NASD BrokerCheck October 14, 2005 Page 316 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Supervise; Account Related-Negligence Type of Securities: Options;Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $410,756.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/30/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (163 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-04859 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $81,314.01 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/30/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (164 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2004 Case Number: 04-02148 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability Type of Securities: Annuities;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $312,940.10 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED NASD BrokerCheck October 14, 2005 Page 317 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $500.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $936,000.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (165 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/12/2004 Case Number: 04-00154 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $39,700.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has NASD BrokerCheck October 14, 2005 Page 318 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (166 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/12/2003 Case Number: 03-06536 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $72,221.64 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 03/24/2005 8c. Relief Awarded: Other Monetary Relief, Relief has been awarded (partial or full, Award Amount $112.50 * BROKERAGE FIRM ARBITRATION (167 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/30/2003 Case Number: 03-05011 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $5,470.84 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/23/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $5,470.84; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01 NASD BrokerCheck October 14, 2005 Page 319 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (168 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/03/2004 Case Number: 04-03655 Allegations: Fraudulent Activity - Omission of Facts; Account Related-Breach of Contract; Fraudulent Activity-Other; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $22,793.60 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $22,793.60; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $125.00; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (169 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/14/2004 Case Number: 04-02709 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $75,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (170 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 320 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2004 Case Number: 04-01602 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Account Related-Margin Calls Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: NO AWARD AGAINST PARTY 8b. Status Date: 03/22/2005 8c. Relief Awarded: Attorney's Fees, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (171 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/10/2004 Case Number: 04-06422 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $18,164.25 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $6,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $18,164.25; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (172 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 321 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 05/26/2004 Case Number: 04-03751 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $65,232.28 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $195,000.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.01 SEVERALLY ; Interest, ASKED AMOUNT $0.01 SEVERALLY ; Other costs, ASKED AMOUNT $0.01 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 03/21/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $22,635.63; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $150.00 * BROKERAGE FIRM ARBITRATION (173 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/12/2004 Case Number: 04-03778 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,119.69 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (174 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 322 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 09/15/2003 Case Number: 03-06503 Allegations: Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $24,812.61 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $24,812.61; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 03/17/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $125.00; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full * BROKERAGE FIRM ARBITRATION (175 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/13/2003 Case Number: 03-04537 Allegations: Fraudulent Activity-Unauthorized Trading; Account Related-Breach of Contract Type of Securities: Common Stock NASD BrokerCheck October 14, 2005 Page 323 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $5,655.67 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full 7c. Relief Asked: Other Non-Monetary Relief, ASKED AMOUNT JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 03/17/2005 8c. Relief Awarded: Other Non-Monetary Relief, Relief has been awarded (partial or full, Award Amount * BROKERAGE FIRM ARBITRATION (176 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00338 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $972.39 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $972.39; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 03/17/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $25.00 * BROKERAGE FIRM ARBITRATION (177 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/08/2004 Case Number: 04-00065 NASD BrokerCheck October 14, 2005 Page 324 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (178 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05302 Allegations: Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $164,521.89 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (179 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/31/2003 Case Number: 03-00611 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock;Mutual Funds;Government Securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $432,225.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $26,591.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, NASD BrokerCheck October 14, 2005 Page 325 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $139,774.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $161,571.53; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (180 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-04860 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $84,965.54 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $84,965.54; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $225.00; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (181 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/2002 Case Number: 02-05646 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $752,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 326 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (182 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/19/2004 Case Number: 04-05860 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/09/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $5,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (183 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/07/2003 Case Number: 03-01450 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,713,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/09/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 327 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (184 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/12/1999 Case Number: 99-04754 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/08/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (185 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/25/2003 Case Number: 03-06788 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $39,890.27 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/08/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,555.26; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 14, 2005 Page 328 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/08/2005 8C. RELIEF AWARDED: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (186 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/08/2004 Case Number: 04-01347 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,761.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/03/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (187 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/01/2004 Case Number: 04-02123 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/02/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 329 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (188 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-04857 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,250.15 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/01/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/01/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,250.15; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50 * BROKERAGE FIRM ARBITRATION (189 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/14/2004 Case Number: 04-02914 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/28/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 14, 2005 Page 330 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (190 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00333 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,975.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,975.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/28/2005 8C. RELIEF AWARDED: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (191 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/12/2003 Case Number: 03-08033 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $223,263.61 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/25/2005 NASD BrokerCheck October 14, 2005 Page 331 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/25/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $65,000.00 * BROKERAGE FIRM ARBITRATION (192 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/26/2003 Case Number: 03-06836 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,640.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (193 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/01/2003 Case Number: 03-02898 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-TRANSFER; ACCOUNT NASD BrokerCheck October 14, 2005 Page 332 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $220,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/25/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $72,421.33; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (194 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/2004 Case Number: 04-01376 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,271.36 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,728.64 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 333 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (195 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/24/2004 Case Number: 03-09243 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,180.31 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $195,540.93 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (196 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/27/2004 Case Number: 04-06055 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: TREBLE DAMAGES, ASKED AMOUNT $21,442.14 SEVERALLY ; INTEREST, ASKED AMOUNT $2,911.08 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $150.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/23/2005 Relief Awarded: TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,576.86; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/23/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,147.38; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,294.76 * BROKERAGE FIRM ARBITRATION (197 of 1184) * NASD BrokerCheck October 14, 2005 Page 334 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04828 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,164.64 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/23/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/23/2005 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18.75 * BROKERAGE FIRM ARBITRATION (198 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/15/2004 Case Number: 04-04135 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,156.09 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/22/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,500.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (199 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/04/2003 Case Number: 03-07818 NASD BrokerCheck October 14, 2005 Page 335 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,758.92 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/17/2005 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (200 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/11/2002 Case Number: 02-03482 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (201 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/08/2003 NASD BrokerCheck October 14, 2005 Page 336 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-08547 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/15/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (202 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/21/2003 Case Number: 03-02617 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/16/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/16/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00 * BROKERAGE FIRM ARBITRATION (203 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/31/2003 Case Number: 03-05410 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 337 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $215,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/14/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $124,255.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (204 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/11/2004 Case Number: 04-05252 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,093.56 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/11/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/11/2005 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (205 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/02/2004 Case Number: 04-04495 NASD BrokerCheck October 14, 2005 Page 338 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,091.73 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/10/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (206 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/22/2003 Case Number: 03-07496 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,748.75 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/10/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,748.75 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/10/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,874.38; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,625.63; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50 * BROKERAGE FIRM ARBITRATION (207 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 339 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 02/04/2003 Case Number: 03-00641 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/07/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (208 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/31/2004 Case Number: 04-05251 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,181.47 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/02/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF NASD BrokerCheck October 14, 2005 Page 340 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (209 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06524 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,576.83 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/02/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (210 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05286 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,233.42 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/02/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 341 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (211 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/02/2004 Case Number: 04-03882 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/31/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (212 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/30/2004 Case Number: 04-03776 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,200.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/31/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (213 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 342 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 08/14/2003 Case Number: 03-05751 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: ANNUITIES;MUTUAL FUNDS;COMMON STOCK * BROKERAGE FIRM ARBITRATION (214 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/28/2004 Case Number: 03-08324 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,229.93 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,700.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,229.93; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00 * BROKERAGE FIRM ARBITRATION (215 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06522 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,586.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/27/2005 NASD BrokerCheck October 14, 2005 Page 343 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,586.50; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (216 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/14/2004 Case Number: 04-04094 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,894.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $73,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $7,176.59 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $975.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/26/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/26/2005 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (217 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/12/2003 Case Number: 03-07919 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,083,850.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/26/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (218 of 1184) * NASD BrokerCheck October 14, 2005 Page 344 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/03/2003 Case Number: 03-06937 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,508,095.60 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $237,092.65 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/25/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (219 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2003 Case Number: 03-05273 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,040.62 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/25/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 345 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (220 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/11/2003 Case Number: 03-08683 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK * BROKERAGE FIRM ARBITRATION (221 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/11/2004 Case Number: 04-05249 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,233.49 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (222 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/30/2003 Case Number: 03-08375 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 346 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/21/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (223 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/26/2002 Case Number: 02-03627 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,312,141.08 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/20/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $315,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $63,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,312,141.08 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/20/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/20/2005 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 NASD BrokerCheck October 14, 2005 Page 347 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (224 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/20/2003 Case Number: 03-07392 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,757,190.70 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/19/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (225 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/16/2004 Case Number: 04-05344 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,363.74 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/18/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,363.74; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (226 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 348 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 02/28/2003 Case Number: 03-01120 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $350,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/13/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (227 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/19/2003 Case Number: 03-06781 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,085.68 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/12/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (228 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/19/2002 NASD BrokerCheck October 14, 2005 Page 349 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-05375 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/12/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (229 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/02/2004 Case Number: 04-05248 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,267.44 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/11/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (230 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/31/2004 Case Number: 04-05448 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock NASD BrokerCheck October 14, 2005 Page 350 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 01/11/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $12,500.00 * BROKERAGE FIRM ARBITRATION (231 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/16/2003 Case Number: 03-06459 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $83,830.41 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/07/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 351 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (232 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/01/2004 Case Number: 04-03842 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,422.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $14,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/06/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (233 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06506 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,892.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/03/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (234 of 1184) * NASD BrokerCheck October 14, 2005 Page 352 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/18/2003 Case Number: 03-06613 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,721,132.10 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (235 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06512 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,366.95 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (236 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 353 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 09/15/2003 Case Number: 03-06518 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,942.85 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (237 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/02/2004 Case Number: 04-02211 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,221.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (238 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/23/2003 Case Number: 03-05213 NASD BrokerCheck October 14, 2005 Page 354 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $197,113.77 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $65,704.59 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $195,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $65,000.00 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/27/2004 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00 * BROKERAGE FIRM ARBITRATION (239 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04842 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,059.59 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,059.59; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (240 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06599 NASD BrokerCheck October 14, 2005 Page 355 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,565.90 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (241 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04876 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,687.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (242 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04800 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF NASD BrokerCheck October 14, 2005 Page 356 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,588.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (243 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/2003 Case Number: 03-00301 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,979.93 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,979.93; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (244 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06530 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 357 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,062.43 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (245 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/21/2003 Case Number: 03-08233 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $350,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/17/2004 8C. RELIEF AWARDED: SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (246 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/01/2004 NASD BrokerCheck October 14, 2005 Page 358 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 04-05819 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: ANNUITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,250.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,400.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (247 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/15/2003 Case Number: 03-04989 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $148,511.16 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $105,691.24; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,535.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (248 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 NASD BrokerCheck October 14, 2005 Page 359 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-04846 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,519.82 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (249 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/02/2004 Case Number: 03-04479 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,522.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (250 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/23/2003 Case Number: 03-04277 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $119,228.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $238,456.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 360 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (251 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/18/2003 Case Number: 03-06468 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,825.31 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (252 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/26/2004 Case Number: 04-00454 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,979.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/09/2004 NASD BrokerCheck October 14, 2005 Page 361 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,979.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (253 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/13/2004 Case Number: 03-08213 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,960.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,782.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (254 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/16/2004 Case Number: 04-00141 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,047.42 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $11,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (255 of 1184) * NASD BrokerCheck October 14, 2005 Page 362 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06467 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,022.81 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (256 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/10/2003 Case Number: 03-00637 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (257 of 1184) * NASD BrokerCheck October 14, 2005 Page 363 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/18/2004 Case Number: 04-04262 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,999.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (258 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/28/2003 Case Number: 03-07483 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,371.72 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,371.72; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,605.12; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,880.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (259 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 364 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 09/16/2003 Case Number: 03-06454 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $141,936.85 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/29/2004 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,621.27 * BROKERAGE FIRM ARBITRATION (260 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2004 Case Number: 04-00403 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,115.06 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,800.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (261 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 365 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04850 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,540.09 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (262 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04807 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,750.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (263 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 NASD BrokerCheck October 14, 2005 Page 366 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-04804 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,365.33 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (264 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/2004 Case Number: 04-03984 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,999.90 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (265 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 367 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04875 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,785.18 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (266 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00329 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,511.43 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,553.43; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $227.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (267 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 368 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00294 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,750.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,750.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (268 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/06/2003 Case Number: 02-06757 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $417,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $270,790.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (269 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 369 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 06/17/2004 Case Number: 04-04235 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,667.50 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $11,002.50 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,667.50; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,467.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (270 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/2004 Case Number: 04-03985 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,699.52 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (271 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 370 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 07/15/2003 Case Number: 03-04987 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51,735.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (272 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/16/2003 Case Number: 03-06514 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,542.40 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/15/2004 NASD BrokerCheck October 14, 2005 Page 371 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (273 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/17/2003 Case Number: 03-06441 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 372 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (274 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04812 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $62,830.43 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/12/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00 * BROKERAGE FIRM ARBITRATION (275 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00303 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,649.99 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 373 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (276 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/30/2003 Case Number: 03-01097 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $937,161.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $797,226.59; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (277 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/21/2004 NASD BrokerCheck October 14, 2005 Page 374 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 04-01351 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,280.12 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $381.92 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $600.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (278 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06510 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,200.03 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (279 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 375 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/30/2003 Case Number: 03-00276 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,740.74 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,740.74; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (280 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/15/2003 Case Number: 03-02592 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,623,693.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (281 of 1184) * NASD BrokerCheck October 14, 2005 Page 376 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 03-08608 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,097.95 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,900.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,097.95; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (282 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/17/2003 Case Number: 03-06423 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,149,667.70 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (283 of 1184) * NASD BrokerCheck October 14, 2005 Page 377 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/30/2003 Case Number: 03-00302 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,993.21 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (284 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/15/2002 Case Number: 02-06654 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (285 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/07/2003 NASD BrokerCheck October 14, 2005 Page 378 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-05718 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-TRANSFER; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $433,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $88,620.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $25,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (286 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/13/2003 Case Number: 03-01694 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,067,422.96 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,717.64 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,327,421.80 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 379 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (287 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/14/2003 Case Number: 03-01009 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,999.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,999.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/05/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (288 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/2004 Case Number: 04-01835 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;PREFERRED STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,750.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,200.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50 * BROKERAGE FIRM ARBITRATION (289 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 380 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 09/03/2002 Case Number: 02-04555 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $427,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (290 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/10/2004 Case Number: 04-01610 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,357.51 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $14,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (291 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/22/2004 Case Number: 04-01018 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - NASD BrokerCheck October 14, 2005 Page 381 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,717.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (292 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/23/2004 Case Number: 04-03477 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,845.13 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,154.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (293 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/18/2004 Case Number: 04-01438 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,428.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $450.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 382 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $450.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (294 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00275 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,923.37 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,910.97; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (295 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/2004 Case Number: 04-03948 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,999.99 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,999.99; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT NASD BrokerCheck October 14, 2005 Page 383 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 * BROKERAGE FIRM ARBITRATION (296 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/16/2003 Case Number: 03-00216 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,495.75 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (297 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/23/2004 Case Number: 04-04284 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,200.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,253.81; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $297.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (298 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 384 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 07/29/2003 Case Number: 03-05298 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $62,137.05 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (299 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/05/2004 Case Number: 04-03232 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,786.96 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/26/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25 * BROKERAGE FIRM ARBITRATION (300 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 385 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 11/28/2003 Case Number: 03-08442 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (301 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/13/2003 Case Number: 03-08066 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $231,871.01 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $250.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $487,897.42 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY NASD BrokerCheck October 14, 2005 Page 386 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/26/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,250.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (302 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/02/2003 Case Number: 03-07085 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (303 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/22/2003 Case Number: 03-06648 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 387 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,148,073.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/26/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (304 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/11/2003 Case Number: 03-05514 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $4,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $120,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY NASD BrokerCheck October 14, 2005 Page 388 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/26/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (305 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/21/2004 Case Number: 04-03626 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS;PREFERRED STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $757,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (306 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/16/2004 Case Number: 04-02595 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; OTHER-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $849.26 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (307 of 1184) * NASD BrokerCheck October 14, 2005 Page 389 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/2004 Case Number: 04-01067 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,307.40 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,600.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (308 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04836 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,779.91 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,779.90; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,145.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (309 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 390 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00310 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,183.72 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/22/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25 * BROKERAGE FIRM ARBITRATION (310 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/2003 Case Number: 03-00273 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,740.32 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,740.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,145.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (311 of 1184) * NASD BrokerCheck October 14, 2005 Page 391 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/19/2002 Case Number: 02-07494 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,545.47 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,500.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,859.90 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (312 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/18/2004 Case Number: 03-08410 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,504.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,400.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (313 of 1184) * NASD BrokerCheck October 14, 2005 Page 392 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/16/2003 Case Number: 03-06453 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,042.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (314 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/03/2004 Case Number: 04-03574 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,220.93 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,775.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,851.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $297.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (315 of 1184) * NASD BrokerCheck October 14, 2005 Page 393 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/05/2004 Case Number: 04-03228 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,570.10 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $13,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (316 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/27/2004 Case Number: 04-01244 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,798.09 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,200.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (317 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 394 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 12/17/2003 Case Number: 03-08822 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,938.83 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $12,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (318 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06533 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,118.40 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (319 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/18/2004 Case Number: 03-09206 NASD BrokerCheck October 14, 2005 Page 395 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,246.94 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,753.06 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,246.94; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,600.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (320 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00282 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,029.25 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (321 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 03-08293 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER NASD BrokerCheck October 14, 2005 Page 396 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,694.28 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,300.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (322 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/05/2003 Case Number: 03-05665 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/07/2004 Relief Awarded: DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (323 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/03/2004 Case Number: 04-03576 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,998.00 NASD BrokerCheck October 14, 2005 Page 397 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (324 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/28/2004 Case Number: 04-03269 Allegations: ACCOUNT RELATED-DIVIDENDS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,945.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (325 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/12/2002 Case Number: 02-03306 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;COMMON STOCK;MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 398 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 10/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (326 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/06/2004 Case Number: 03-09196 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,539.05 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $981.56 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (327 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00305 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,637.60 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 399 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (328 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/21/2004 Case Number: 03-09182 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-MARGIN CALLS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $121,225.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/01/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00 * BROKERAGE FIRM ARBITRATION (329 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/19/2004 Case Number: 04-01836 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,999.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 400 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (330 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/17/2004 Case Number: 04-00929 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,865.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (331 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 04-00654 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,641.76 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $2,314.02 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $575.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $40.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (332 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 401 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 12/22/2003 Case Number: 03-08944 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,510.74 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $900.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (333 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/17/2003 Case Number: 03-07975 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,776.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,191.51 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (334 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04826 NASD BrokerCheck October 14, 2005 Page 402 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,125.75 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (335 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/28/2004 Case Number: 03-09200 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,775.10 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (336 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04881 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE NASD BrokerCheck October 14, 2005 Page 403 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,988.96 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (337 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04874 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,390.37 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (338 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00298 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,167.50 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S NASD BrokerCheck October 14, 2005 Page 404 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (339 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-04902 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $382,444.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $93,698.76 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (340 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00293 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,438.90 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 405 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 09/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (341 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/06/2003 Case Number: 03-00289 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,593.04 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (342 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/28/2004 Case Number: 04-03056 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,863.37 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,025.24 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $870.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 406 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (343 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06569 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,375.69 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (344 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/15/2004 Case Number: 04-01698 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,080.15 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (345 of 1184) * NASD BrokerCheck October 14, 2005 Page 407 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/09/2004 Case Number: 04-01453 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,117.51 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,800.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (346 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/24/2004 Case Number: 04-01107 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00 * BROKERAGE FIRM ARBITRATION (347 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/29/2004 Case Number: 04-00507 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 408 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,407.97 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $13,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (348 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 03-08560 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,171.05 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $11,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,585.52; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (349 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 03-08558 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,572.16 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 409 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,572.16; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (350 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/13/2004 Case Number: 03-08299 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,097.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $17,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (351 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00325 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,508.60 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 410 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,501.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (352 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/2004 Case Number: 04-01498 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,438.44 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (353 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/17/2004 Case Number: 04-00928 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,190.60 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $11,800.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 411 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (354 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2004 Case Number: 04-00140 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,560.88 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,400.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,996.58; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,600.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (355 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/31/2003 Case Number: 03-09151 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $7,067.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 412 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (356 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04882 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,873.64 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (357 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/01/2003 Case Number: 03-04654 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $220,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 413 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (358 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/28/2003 Case Number: 03-03752 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (359 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/16/2002 Case Number: 02-06472 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $61,692.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 414 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,156.77; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (360 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/24/2004 Case Number: 04-01900 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,758.80 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,200.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (361 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/09/2004 Case Number: 04-00123 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,775.18 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,200.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 415 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (362 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/18/2004 Case Number: 03-08371 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,856.28 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $14,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,856.28 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/15/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 * BROKERAGE FIRM ARBITRATION (363 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00429 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 14, 2005 Page 416 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,812.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,200.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (364 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00318 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,510.70 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/15/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81.25 * BROKERAGE FIRM ARBITRATION (365 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00280 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,936.15 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S NASD BrokerCheck October 14, 2005 Page 417 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (366 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/18/2002 Case Number: 02-05588 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,938,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 418 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (367 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/23/2004 Case Number: 04-02891 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,641.95 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,283.90 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $9,170.38 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; INTEREST, ASKED AMOUNT $7,270.58 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,641.95; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,547.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (368 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04864 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $977.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 419 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (369 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04862 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,892.46 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (370 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/30/2003 Case Number: 03-00290 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,405.89 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 420 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (371 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00299 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,430.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (372 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00277 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,830.63 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 421 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (373 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/19/2003 Case Number: 03-01836 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $179,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/02/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $85,000.00 * BROKERAGE FIRM ARBITRATION (374 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/24/2004 Case Number: 04-01068 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,357.51 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $14,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 422 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (375 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00331 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,425.50 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/2004 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (376 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00320 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,605.38 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,900.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 423 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (377 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00292 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,856.49 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (378 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/04/2002 Case Number: 02-05009 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $838,250.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; INTEREST, ASKED AMOUNT $0.01 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS NASD BrokerCheck October 14, 2005 Page 424 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DATE: 08/25/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $66,888.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (379 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 04-00655 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; OTHER-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,600.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,183.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (380 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2004 Case Number: 03-09208 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,131.61 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (381 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 425 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 02/12/2003 Case Number: 03-00336 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,596.99 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (382 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00317 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,447.81 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,447.81; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,075.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (383 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 426 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00334 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,112.15 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (384 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00324 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,508.20 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/18/2004 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (385 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 427 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/25/2004 Case Number: 04-00931 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,825.24 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (386 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/30/2003 Case Number: 03-07757 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,340.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (387 of 1184) * NASD BrokerCheck October 14, 2005 Page 428 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/06/2003 Case Number: 03-00341 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,442.80 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/13/2004 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/13/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (388 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/12/2003 Case Number: 03-00300 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,162.46 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 429 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 08/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (389 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/20/2004 Case Number: 04-00268 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,630.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,300.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (390 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/05/2003 Case Number: 03-07820 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER; TRADING DISPUTES-TRANSFERS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,500.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY NASD BrokerCheck October 14, 2005 Page 430 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 08/11/2004 8C. RELIEF AWARDED: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (391 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/30/2003 Case Number: 03-00278 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,714.18 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2004 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (392 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/06/2003 Case Number: 03-00327 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,934.25 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S NASD BrokerCheck October 14, 2005 Page 431 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/10/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81.25 * BROKERAGE FIRM ARBITRATION (393 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00319 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,625.24 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/10/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50 * BROKERAGE FIRM ARBITRATION (394 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/21/2003 Case Number: 03-05965 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS NASD BrokerCheck October 14, 2005 Page 432 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,200,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $80,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (395 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/30/2003 Case Number: 03-00304 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/05/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25 NASD BrokerCheck October 14, 2005 Page 433 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (396 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/27/2003 Case Number: 03-02304 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $170,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (397 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 03-09205 NASD BrokerCheck October 14, 2005 Page 434 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,441.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (398 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/18/2002 Case Number: 02-07473 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $624,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,376,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 14, 2005 Page 435 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (399 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/30/2003 Case Number: 03-09115 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/26/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (400 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/10/2004 Case Number: 03-08369 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,624.06 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,300.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY NASD BrokerCheck October 14, 2005 Page 436 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $3,624.06 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,300.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/26/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,850.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 * BROKERAGE FIRM ARBITRATION (401 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06832 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,210.60 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (402 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/14/1997 Case Number: 97-03383 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 437 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (403 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/14/2003 Case Number: 03-05826 Allegations: EXECUTIONS-FAILURE TO EXECUTE; EXECUTIONS-INCORRECT QUANTITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $297,300.20 SEVERALLY ; INTEREST, ASKED AMOUNT $84,692.15 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,490.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/21/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (404 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/17/2003 Case Number: 03-01088 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $166,241.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 438 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $2,296.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $123,730.00 SEVERALLY ; INTEREST, ASKED AMOUNT $2,330.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $375,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (405 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/10/2003 Case Number: 03-06027 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $107,359.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $107,359.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (406 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/28/2003 NASD BrokerCheck October 14, 2005 Page 439 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-00372 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $399,794.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $399,794.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $50,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/13/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00 * BROKERAGE FIRM ARBITRATION (407 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06561 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,780.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/08/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00 * BROKERAGE FIRM ARBITRATION (408 of 1184) * NASD BrokerCheck October 14, 2005 Page 440 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/22/2003 Case Number: 03-08945 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $953.23 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (409 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/22/2003 Case Number: 03-08956 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,355.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $600.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/02/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43.75 * BROKERAGE FIRM ARBITRATION (410 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 441 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06562 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,550.24 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,550.24 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,550.24 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/02/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,775.12; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (411 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06549 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,402.15 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 442 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (413 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/22/2003 Case Number: 03-06831 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,570.44 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/22/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81.25 * BROKERAGE FIRM ARBITRATION (414 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 NASD BrokerCheck October 14, 2005 Page 443 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-06460 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,783.17 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (415 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/28/2002 Case Number: 02-04276 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $223,122.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS NASD BrokerCheck October 14, 2005 Page 444 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (416 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/05/2004 Case Number: 03-09234 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (417 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/02/2003 Case Number: 03-08484 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,526.25 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,763.25; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (418 of 1184) * NASD BrokerCheck October 14, 2005 Page 445 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/22/2003 Case Number: 03-08946 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,055.44 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,900.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (419 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06550 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,897.81 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (420 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 446 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/29/2002 Case Number: 02-00414 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/2004 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (421 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/14/2001 Case Number: 01-06535 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $64,163.74 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $5,318.35 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (422 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/04/2003 Case Number: 03-05498 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,400,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 447 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (423 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06558 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,760.20 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (424 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06466 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,248.36 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 14, 2005 Page 448 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (425 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06464 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,118.36 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (426 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/09/2003 Case Number: 03-06276 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $117,080.80 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $19,991.56 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $33,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,425.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $117,080.80 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,350.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST NASD BrokerCheck October 14, 2005 Page 449 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (427 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06544 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,166.26 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/21/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25 * BROKERAGE FIRM ARBITRATION (428 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/19/2003 Case Number: 03-01094 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $210,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00 NASD BrokerCheck October 14, 2005 Page 450 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (429 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06567 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,996.79 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (430 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/05/2004 Case Number: 03-06406 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,800.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $125.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (431 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 NASD BrokerCheck October 14, 2005 Page 451 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-06552 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,667.96 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/03/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81.25 * BROKERAGE FIRM ARBITRATION (432 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06547 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,857.25 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (433 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/19/2001 NASD BrokerCheck October 14, 2005 Page 452 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 01-03375 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $936,065.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,287,283.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $936,065.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,265,485.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (434 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06572 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,906.52 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY NASD BrokerCheck October 14, 2005 Page 453 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/03/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (435 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/18/2003 Case Number: 03-01801 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (436 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/11/2002 Case Number: 02-02508 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 454 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $2,578.20; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (437 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/03/2003 Case Number: 03-01255 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/27/2004 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (438 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/22/2002 Case Number: 02-04099 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $382,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 455 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $382,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/27/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00 * BROKERAGE FIRM ARBITRATION (439 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06574 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,975.20 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/26/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $127.50 * BROKERAGE FIRM ARBITRATION (440 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/23/2003 NASD BrokerCheck October 14, 2005 Page 456 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-06565 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,316.56 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,316.56 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $175.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/26/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00 * BROKERAGE FIRM ARBITRATION (441 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06541 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,662.03 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,662.03; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (442 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 457 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 09/12/2003 Case Number: 03-06546 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; OTHER-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,672.65 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (443 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06542 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,975.92 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,975.92; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (444 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/23/2003 NASD BrokerCheck October 14, 2005 Page 458 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-06573 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,816.01 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (445 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06570 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,161.15 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (446 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06563 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 459 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,498.05 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/21/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81.25 * BROKERAGE FIRM ARBITRATION (447 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06557 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,497.04 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/21/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43.75 * BROKERAGE FIRM ARBITRATION (448 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06554 NASD BrokerCheck October 14, 2005 Page 460 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,581.38 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,581.30 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,581.30 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/21/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,581.38; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,400.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (449 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/11/2003 Case Number: 03-05547 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 461 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (450 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06551 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,087.89 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,087.89 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/15/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (451 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06545 NASD BrokerCheck October 14, 2005 Page 462 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,749.64 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (452 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/01/2003 Case Number: 03-07738 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,655.64 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (453 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/19/2003 Case Number: 03-06780 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 463 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,064.74 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,064.74; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (454 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06553 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $830.79 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $830.79; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $187.46; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (455 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/16/2003 Case Number: 03-00830 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,694.74 NASD BrokerCheck October 14, 2005 Page 464 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $880.25 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (456 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06556 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $562.02 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (457 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/25/2003 Case Number: 03-01956 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $134,240.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 465 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (458 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/21/2003 Case Number: 03-00190 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,021,628.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $4,043,256.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (459 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/30/2002 Case Number: 02-07673 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/23/2004 8C. RELIEF AWARDED: NASD BrokerCheck October 14, 2005 Page 466 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $445,524.61 * BROKERAGE FIRM ARBITRATION (460 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/21/2003 Case Number: 03-07460 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,380.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $200.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $38.61 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (461 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/22/2002 Case Number: 02-06184 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,838.11 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,671.35; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,600.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (462 of 1184) * NASD BrokerCheck October 14, 2005 Page 467 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/09/2002 Case Number: 02-06335 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $297,754.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (463 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/20/2002 Case Number: 02-06920 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 468 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/08/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,043.50; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,432.33; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $34,778.92; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $158,158.73; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (464 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/22/2001 Case Number: 01-02259 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;OPTIONS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $976,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: NASD BrokerCheck October 14, 2005 Page 469 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) 03/02/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $110,970.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00 * BROKERAGE FIRM ARBITRATION (465 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/11/2002 Case Number: 02-07377 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $288,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $270,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (466 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/04/2003 Case Number: 03-06301 Allegations: ACCOUNT RELATED-DIVIDENDS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,335.55 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,872.85 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 470 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (467 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/11/2002 Case Number: 02-02802 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (468 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/30/2003 Case Number: 03-00340 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,786.80 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 471 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (469 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00339 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,056.26 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/24/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25 * BROKERAGE FIRM ARBITRATION (470 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00335 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,082.50 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 472 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (471 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00328 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,414.72 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/24/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,414.72; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00 * BROKERAGE FIRM ARBITRATION (472 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/06/2003 Case Number: 03-00326 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,775.07 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 473 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (473 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00314 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,929.18 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,929.18; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (474 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/12/2003 Case Number: 03-00307 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,593.40 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 14, 2005 Page 474 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (475 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/12/2003 Case Number: 03-00295 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,537.96 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (476 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/12/2003 Case Number: 03-00288 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,975.06 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 475 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (477 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/12/2003 Case Number: 03-00286 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,245.39 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/24/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00 * BROKERAGE FIRM ARBITRATION (478 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/24/2003 Case Number: 03-00272 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,600.10 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 476 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,600.10; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (479 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/15/2002 Case Number: 02-01468 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $327,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $58,900.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (480 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/19/2002 Case Number: 02-07519 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $148,999.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,172.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED NASD BrokerCheck October 14, 2005 Page 477 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (481 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/16/2003 Case Number: 03-04089 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,484.10 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $75.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $10.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/11/2004 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (482 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/28/2002 Case Number: 02-01065 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $205,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 14, 2005 Page 478 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (483 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/11/2003 Case Number: 03-06434 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,109.13 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (484 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/18/2003 Case Number: 03-01062 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $109,551.60 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 14, 2005 Page 479 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (485 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/02/2003 Case Number: 03-01864 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,200.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,000.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/30/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00 * BROKERAGE FIRM ARBITRATION (486 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/09/2003 Case Number: 03-00112 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $660,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $76,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 480 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (487 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/24/2002 Case Number: 02-06195 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,425.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/27/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00 * BROKERAGE FIRM ARBITRATION (488 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/12/2003 Case Number: 03-01650 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $108,583.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $108,583.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT NASD BrokerCheck October 14, 2005 Page 481 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/23/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $72,338.67; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (489 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/13/2002 Case Number: 02-04578 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (490 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/29/2003 Case Number: 03-05454 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,696.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,848.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/20/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (491 of 1184) * NASD BrokerCheck October 14, 2005 Page 482 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/01/2002 Case Number: 02-01739 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $617,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $617,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/16/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00 * BROKERAGE FIRM ARBITRATION (492 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/05/2002 Case Number: 02-00500 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $372,285.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (493 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 483 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/17/2002 Case Number: 02-02784 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $69,522.01 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,225.02 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,937.97 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51,407.05 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (494 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/09/2003 Case Number: 03-03854 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,590.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 484 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (495 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/16/2003 Case Number: 03-04918 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $300.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,117.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/09/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (496 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04478 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,907.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,500.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 14, 2005 Page 485 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/09/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (498 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/01/2002 Case Number: 02-05961 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,187,100.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (499 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 486 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 12/04/2002 Case Number: 02-07062 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/07/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (500 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/2003 Case Number: 03-02251 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,089.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/02/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50 NASD BrokerCheck October 14, 2005 Page 487 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (501 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/09/2002 Case Number: 02-05695 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/31/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (502 of 1184) * NASD BrokerCheck October 14, 2005 Page 488 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/29/1999 Case Number: 99-03932 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $41,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/30/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (503 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2002 Case Number: 02-00513 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $39,409.93 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,590.07 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (504 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/2002 NASD BrokerCheck October 14, 2005 Page 489 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-02881 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES;MUNICIPAL BONDS;COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,200.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/24/2003 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00 * BROKERAGE FIRM ARBITRATION (505 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/02/2003 Case Number: 03-01834 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,300.10 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/12/2003 NASD BrokerCheck October 14, 2005 Page 490 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (506 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/26/2002 Case Number: 02-01314 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/10/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,523,960.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (507 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/09/2003 Case Number: 03-04980 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,700.45 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $325.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/01/2003 NASD BrokerCheck October 14, 2005 Page 491 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (508 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/14/2003 Case Number: 03-01356 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (509 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 02-07682 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $61,149.58 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $183,448.74 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 492 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,187.50 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (510 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/11/2002 Case Number: 02-05167 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,819.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (511 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/24/2002 Case Number: 02-02171 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-TRANSFER NASD BrokerCheck October 14, 2005 Page 493 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $191,705.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/12/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (512 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/14/2002 Case Number: 02-04635 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (513 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2002 Case Number: 02-03434 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED NASD BrokerCheck October 14, 2005 Page 494 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,566.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,632.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (514 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/01/2002 Case Number: 02-01645 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $469,119.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $103,320.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (515 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/2002 Case Number: 02-02605 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $292,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 495 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 10/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $51,301.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/29/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (516 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/29/2002 Case Number: 02-04973 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.01 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $38,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (517 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/2002 Case Number: 02-01252 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES * BROKERAGE FIRM ARBITRATION (518 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 496 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 10/30/2002 Case Number: 02-06256 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-OTHER Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $326,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (519 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/08/2002 Case Number: 02-04868 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $9,000,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (520 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/09/2002 Case Number: 02-03852 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $66,486.07 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,500.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 497 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (521 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/27/2002 Case Number: 02-03188 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-SUITABILITY; TRADING DISPUTES-STOCK LOANS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $255,484.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $240,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (522 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/12/2002 Case Number: 02-07376 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 498 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (523 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/21/2002 Case Number: 02-06158 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (524 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/2002 Case Number: 02-01236 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $497,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $172,500.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (525 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 499 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 12/12/2002 Case Number: 02-07137 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;CORPORATE BONDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,837,450.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/25/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (526 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/03/2002 Case Number: 02-04474 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,288,621.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $2,567,242.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (527 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/06/2000 Case Number: 00-04203 NASD BrokerCheck October 14, 2005 Page 500 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $318,465.45 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/25/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (528 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/25/2002 Case Number: 02-04195 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/18/2003 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $149,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/18/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,903.92; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,000.00 * BROKERAGE FIRM ARBITRATION (529 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/07/2003 Case Number: 03-01779 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,200.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/10/2003 NASD BrokerCheck October 14, 2005 Page 501 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/10/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50 * BROKERAGE FIRM ARBITRATION (530 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/22/2002 Case Number: 02-02504 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $123,256.20 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $370,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/05/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/05/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $42,000.00 * BROKERAGE FIRM ARBITRATION (531 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/2003 Case Number: 03-02233 Allegations: ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,369.96 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/05/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 502 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (532 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2003 Case Number: 03-01889 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,321.33; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (533 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/01/2003 Case Number: 03-00829 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,747.92 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,300.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/04/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (534 of 1184) * NASD BrokerCheck October 14, 2005 Page 503 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/2002 Case Number: 02-01398 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $257,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $120,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,277.63; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,236.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/03/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (535 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/19/2003 Case Number: 03-00803 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,520.28 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/25/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 504 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL * BROKERAGE FIRM ARBITRATION (536 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/08/2002 Case Number: 02-03724 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/15/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $67,727.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (537 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/28/2002 Case Number: 02-04935 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $287,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $43,125.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/15/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (538 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 505 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 02/06/2002 Case Number: 02-00603 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/15/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (539 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/04/2002 Case Number: 02-05070 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $660.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (540 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/15/2002 Case Number: 02-00148 NASD BrokerCheck October 14, 2005 Page 506 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,070.00 * BROKERAGE FIRM ARBITRATION (541 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/17/2002 Case Number: 02-01239 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED NASD BrokerCheck October 14, 2005 Page 507 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/31/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (542 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/17/2003 Case Number: 03-02761 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,884.13 NASD BrokerCheck October 14, 2005 Page 508 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (543 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/09/2001 Case Number: 01-01121 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $447,904.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/25/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/25/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $149,292.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (544 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/28/2000 Case Number: 00-04700 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 509 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: CORPORATE BONDS;MUTUAL FUNDS;COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $284,060.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $91,803.27 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $91,803.27 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $505,500.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $357,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $115,038.83; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,144.93; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (545 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/22/2003 Case Number: 03-00381 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-OTHER; FRAUDULENT ACTIVITY-OTHER; TRADING DISPUTES-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,350.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $75.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/10/2003 NASD BrokerCheck October 14, 2005 Page 510 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (546 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/12/2002 Case Number: 02-04018 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (547 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/06/2001 Case Number: 01-06519 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,004,013.30 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $16,500,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (548 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 511 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 10/09/2001 Case Number: 01-05244 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,004,013.30 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $16,500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,004,013.30 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $16,500,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (549 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/22/2002 Case Number: 02-04334 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY NASD BrokerCheck October 14, 2005 Page 512 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (550 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/14/2002 Case Number: 02-01325 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,702.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/26/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,702.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/26/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,000.00 * BROKERAGE FIRM ARBITRATION (551 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/30/2002 Case Number: 02-02121 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-EXECUTION PRICE Type of Securities: MUTUAL FUNDS;COMMON STOCK;MUNICIPAL BOND FUNDS;CERTIFICATE OF DEPOSIT Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $93,035.62 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, NASD BrokerCheck October 14, 2005 Page 513 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $279,106.86 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (552 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/07/2001 Case Number: 01-03676 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,021,853.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/13/2003 NASD BrokerCheck October 14, 2005 Page 514 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $350,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (553 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/12/2002 Case Number: 02-01258 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $165,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $165,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (554 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/04/2002 Case Number: 02-00459 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $88,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 515 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (555 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/30/2001 Case Number: 01-06414 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,391,972.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (556 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/16/2001 Case Number: 01-05736 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $96,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (557 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 516 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 04/23/2001 Case Number: 01-01143 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.01 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $220,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (558 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/12/2001 Case Number: 01-01141 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.01 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.01 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.01 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.01 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $135,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.01 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/23/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (559 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/11/2001 Case Number: 01-04948 NASD BrokerCheck October 14, 2005 Page 517 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $192,905.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/22/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (560 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/22/2002 Case Number: 02-00366 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: ANNUITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/21/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (561 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/13/2001 Case Number: 01-03616 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 518 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (563 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/31/2001 Case Number: 01-05449 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,550,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,550,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/08/2003 8C. NASD BrokerCheck October 14, 2005 Page 519 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00 * BROKERAGE FIRM ARBITRATION (564 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/20/2002 Case Number: 02-00851 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: CORPORATE BONDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/05/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (565 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/23/2002 Case Number: 02-01538 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,019.92 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $171,059.76 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 520 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (566 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/27/2001 Case Number: 01-04413 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;MUTUAL FUNDS;OPTIONS;STOCK INDEX FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $507,792.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $4,210,080.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (567 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/12/2001 Case Number: 01-06505 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 521 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (568 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/24/2001 Case Number: 01-06797 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (569 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/13/1997 Case Number: 96-05709 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 522 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (570 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/08/2002 Case Number: 02-06640 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,969.04 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $2,012.33 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,100.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (571 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/12/2002 Case Number: 02-01920 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-MARGIN CALLS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF NASD BrokerCheck October 14, 2005 Page 523 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (572 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/13/2001 Case Number: 01-03365 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (573 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/21/2001 Case Number: 01-06736 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-TRANSFER; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 524 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (574 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/18/2002 Case Number: 02-00273 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $220,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (575 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/29/2002 Case Number: 02-06217 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,652.77 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (576 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/05/2001 Case Number: 01-01417 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-EXECUTION PRICE NASD BrokerCheck October 14, 2005 Page 525 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $715,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $612,643.69; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (577 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/17/2002 Case Number: 02-01953 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $119,225.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,425.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/06/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (578 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/2001 Case Number: 01-03945 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 526 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/03/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,000.00 * BROKERAGE FIRM ARBITRATION (579 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/02/2002 Case Number: 02-05508 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $200.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/28/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (580 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/16/2002 Case Number: 01-06975 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $276,241.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 527 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $100,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/25/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $276,241.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/25/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,309.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (581 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/25/2002 Case Number: 02-06200 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; OTHER-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,176.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,442.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $489.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/14/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (582 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/2002 Case Number: 02-05794 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 528 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,046.47 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $250.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (583 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/07/2002 Case Number: 02-05712 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,167.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $14,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (584 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/2002 Case Number: 02-04466 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MANIPULATION; TRADING DISPUTES-MANIPULATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,227.48 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $18,772.52 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 NASD BrokerCheck October 14, 2005 Page 529 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (585 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/17/2000 Case Number: 00-01159 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $56,633.75 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,800.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (586 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/23/2001 Case Number: 01-04370 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/30/2002 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $339.18; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (587 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 530 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 07/13/2001 Case Number: 01-03066 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; OTHER-UNDERWRITING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,190.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $625.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $3,500.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/06/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (588 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/13/2001 Case Number: 01-03374 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $216,251.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (589 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/13/2001 Case Number: 01-06566 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 531 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/26/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,800.04; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (590 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/25/2001 Case Number: 01-05659 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,807.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/14/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,807.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (591 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/09/2000 Case Number: 99-05711 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $416,832.00 NASD BrokerCheck October 14, 2005 Page 532 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/05/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (592 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/16/2001 Case Number: 01-04343 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,100.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/01/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $79,042.54; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (593 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/26/2001 Case Number: 01-01446 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $310,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/28/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 533 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (594 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/20/2001 Case Number: 01-03810 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/22/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $174,972.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,208.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/22/2002 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (595 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/29/2001 Case Number: 01-01296 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $720,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/17/2002 NASD BrokerCheck October 14, 2005 Page 534 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (596 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/17/2001 Case Number: 01-05140 Allegations: TRADING DISPUTES-OTHER; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,793.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,690.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (597 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/19/2001 Case Number: 01-04874 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,300,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/09/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $230,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 535 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (598 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/26/2001 Case Number: 01-04453 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OPTIONS;COMMON STOCK;PREFERRED STOCK;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,300.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $600.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $100.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/10/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (599 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/27/2001 Case Number: 01-00775 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $103,074.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (600 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/13/2001 Case Number: 01-03571 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 536 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-SUITABILITY Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $996,489.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/24/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (601 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/02/2001 Case Number: 01-04170 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,151.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (602 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/22/2002 Case Number: 01-05099 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; TRADING DISPUTES-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,814.98 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $175.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 537 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 08/28/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,814.98; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00 * BROKERAGE FIRM ARBITRATION (603 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/2001 Case Number: 01-03902 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,701,309.50 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/20/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (604 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/28/2002 Case Number: 02-00451 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (605 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 538 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 11/29/2001 Case Number: 01-05480 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,187.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $309.38 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/14/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50 * BROKERAGE FIRM ARBITRATION (606 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/26/2001 Case Number: 01-01317 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $185,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/30/2002 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,400.00 * BROKERAGE FIRM ARBITRATION (607 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 539 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 11/07/2000 Case Number: 00-04120 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,571.21 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/29/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (608 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/02/2000 Case Number: 00-02579 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $584,918.09 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/23/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (609 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/05/2002 Case Number: 02-01954 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 540 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,901.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $250.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,901.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $250.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $325.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/17/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,901.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (610 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/09/2001 Case Number: 00-05705 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $195,070.29 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/16/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (611 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/19/2001 Case Number: 01-01493 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: REAL ESTATE INVESTMENT TRUST;OTHER TYPES OF SECURITIES NASD BrokerCheck October 14, 2005 Page 541 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (612 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/14/2000 Case Number: 00-03796 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES;MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (613 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/14/1999 Case Number: 99-02928 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 14, 2005 Page 542 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (614 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/19/2001 Case Number: 01-02947 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $118,611.20 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $94,365.66 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $47,112.39 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $37,347.78 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $21,863.46 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $16,815.19 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $862.50 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $862.50 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/20/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $33,500.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $31,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,360.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,960.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (615 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/07/2000 Case Number: 00-04791 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;OPTIONS NASD BrokerCheck October 14, 2005 Page 543 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $266,220.80 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (616 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/06/2000 Case Number: 00-00566 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $900,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/11/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (617 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/24/2000 Case Number: 00-01122 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 544 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/30/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (618 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/29/2001 Case Number: 01-05651 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,800.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $250.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/02/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (619 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/20/2000 Case Number: 00-04858 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,746.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/23/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 545 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (620 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/10/2001 Case Number: 01-01659 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/17/2002 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (621 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/25/2001 Case Number: 01-05411 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (622 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/20/2001 Case Number: 01-02451 NASD BrokerCheck October 14, 2005 Page 546 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/16/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/16/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50 * BROKERAGE FIRM ARBITRATION (623 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/17/2001 Case Number: 01-03436 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,550.85 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/03/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (624 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/10/2001 Case Number: 01-05203 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,655.75 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/28/2002 NASD BrokerCheck October 14, 2005 Page 547 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (625 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/14/2000 Case Number: 00-05429 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/15/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 548 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (626 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/12/2000 Case Number: 00-02137 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-FAILURE TO EXECUTE; TRADING DISPUTES-TRANSFERS; OTHER-CLEARING DISPUTES Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $450.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $225.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/15/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (627 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/27/2000 Case Number: 00-05093 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-LIMIT V. MARKET ORDER; TRADING DISPUTES-BUY IN Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $174,632.01 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $523,896.03 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/07/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 549 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (628 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/20/2000 Case Number: 00-04469 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-COLLECTION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,283.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $125.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (629 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/05/2001 Case Number: 01-03452 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,737.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,757.38 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $1,879.45 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (630 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/2000 Case Number: 00-02625 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION NASD BrokerCheck October 14, 2005 Page 550 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,657,387.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/20/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (631 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/14/2001 Case Number: 01-03116 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-OTHER; TRADING DISPUTES-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $526.41 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/05/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (632 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/03/2000 Case Number: 00-04688 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $106,105.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/05/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 551 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (633 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/30/2001 Case Number: 01-01541 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,812.46 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $175.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/12/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,721.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00 * BROKERAGE FIRM ARBITRATION (634 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/30/2001 Case Number: 01-01335 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (635 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/01/2001 Case Number: 01-00768 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,557.79 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 552 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 09/24/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,378.00 * BROKERAGE FIRM ARBITRATION (636 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/06/2000 Case Number: 00-04540 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,000.24 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/10/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,000.24; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (637 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/2000 Case Number: 00-02448 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,750.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $39,380.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (638 of 1184) * NASD BrokerCheck October 14, 2005 Page 553 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/26/2000 Case Number: 00-05599 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $325.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/20/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (639 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/13/2000 Case Number: 00-03743 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/09/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (640 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1999 Case Number: 99-03604 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 554 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 08/01/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,591.80; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (641 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/07/2000 Case Number: 00-01699 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,100.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/20/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00 * BROKERAGE FIRM ARBITRATION (642 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/21/2000 Case Number: 00-03027 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $196,275.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $196,275.88 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/25/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $56,555.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,670.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (643 of 1184) * NASD BrokerCheck October 14, 2005 Page 555 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/04/2000 Case Number: 99-05416 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,926.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,100.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (644 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/05/2000 Case Number: 00-00018 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (645 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/07/2000 NASD BrokerCheck October 14, 2005 Page 556 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 00-01797 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,157.41 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/21/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (646 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/12/2000 Case Number: 00-01683 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-INCORRECT QUANTITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,000,000.01 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/04/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (647 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/13/2000 Case Number: 00-01959 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/01/2001 Relief Awarded: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 557 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (648 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/11/1999 Case Number: 99-01865 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $108,575.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/18/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (649 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/03/2000 Case Number: 99-05043 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,633.51 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/11/2001 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (650 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/14/1999 Case Number: 98-00366 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 558 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,680,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,062.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,837.50 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,125.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,250.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/09/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/09/2001 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (651 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/27/1999 Case Number: 99-04865 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-FAILURE TO EXECUTE; NASD BrokerCheck October 14, 2005 Page 559 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $123,337.50 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $380.61 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/06/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,904.61; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (652 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/17/1999 Case Number: 99-00264 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $900,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/05/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (653 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/21/1999 Case Number: 99-04652 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $734,423.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/21/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $723,210.49; INTEREST, NASD BrokerCheck October 14, 2005 Page 560 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (654 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/02/2000 Case Number: 00-00541 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,924.07 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/26/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (655 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/21/1999 Case Number: 99-04118 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/08/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 561 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (656 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/18/2000 Case Number: 99-04487 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/16/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (657 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/17/2000 Case Number: 00-02924 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,779.91 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/15/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/15/2001 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50 * BROKERAGE FIRM ARBITRATION (658 of 1184) * NASD BrokerCheck October 14, 2005 Page 562 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/31/1995 Case Number: 95-03048 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,200,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,200,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/05/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; NASD BrokerCheck October 14, 2005 Page 563 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,500,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (659 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/21/1999 Case Number: 99-04581 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: ANNUITIES;COMMON STOCK;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/25/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (660 of 1184) * NASD BrokerCheck October 14, 2005 Page 564 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/19/1999 Case Number: 99-04425 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/19/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (661 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/26/2000 Case Number: 00-02473 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,600.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/18/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (662 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/26/1999 Case Number: 99-03705 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 565 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/08/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (663 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/03/2000 Case Number: 99-05611 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $502,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $169,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/15/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (664 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/18/1999 Case Number: 99-02725 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $116,779.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/14/2000 NASD BrokerCheck October 14, 2005 Page 566 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $51,633.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,425.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,000.00 * BROKERAGE FIRM ARBITRATION (665 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/04/2000 Case Number: 99-05649 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,655,728.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/30/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (666 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/08/1999 Case Number: 99-03787 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $240,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $300.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/15/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $127,089.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 567 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (667 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/10/1999 Case Number: 99-03623 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,444.00 SEVERALLY ; INTEREST, ASKED AMOUNT $2,091.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $523.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/14/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (668 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/12/1999 Case Number: 99-00915 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,342.33 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,342.33 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/09/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $85,500.11; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $85,500.11; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (669 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/06/2000 Case Number: 00-02295 NASD BrokerCheck October 14, 2005 Page 568 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/06/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (670 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/02/1999 Case Number: 99-05220 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,219.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/24/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $140.00 * BROKERAGE FIRM ARBITRATION (671 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/03/1999 Case Number: 99-01825 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,507.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/23/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 569 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (672 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/18/1999 Case Number: 99-05023 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/18/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $53,292.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,060.10 * BROKERAGE FIRM ARBITRATION (673 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/18/2000 Case Number: 99-04606 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/19/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (674 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/28/1999 Case Number: 99-03145 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,531.25 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 570 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $750.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/17/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (675 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/03/1999 Case Number: 99-01581 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,875.95 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/13/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (676 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/23/1999 Case Number: 99-01787 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,875.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,500.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (677 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 571 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 03/12/1999 Case Number: 99-00972 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $96,775.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/06/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (678 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/08/1999 Case Number: 99-00092 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $368,318.29 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/08/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (679 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/24/2000 Case Number: 00-03046 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 572 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/01/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (680 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/19/1999 Case Number: 99-02829 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/18/2001 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (681 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/05/2000 Case Number: 00-02156 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/10/2001 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (682 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/08/1999 NASD BrokerCheck October 14, 2005 Page 573 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 99-00018 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/21/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (683 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/18/2000 Case Number: 00-00522 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/26/2000 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (684 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/29/1999 Case Number: 99-02852 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/01/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 574 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL * BROKERAGE FIRM ARBITRATION (685 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/15/1999 Case Number: 99-04258 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (686 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/03/2000 Case Number: 99-05779 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,241.65 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $450.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $5,075.16 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,241.65; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/24/2000 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (687 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/07/2000 Case Number: 00-01268 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 575 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,285.77 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/24/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (688 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/11/1999 Case Number: 98-04629 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/22/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (689 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/09/1999 Case Number: 99-00143 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,400,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 576 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 08/11/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $650,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $120,539.34 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $27,361.34 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/11/2000 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $120,529.34; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,361.34 * BROKERAGE FIRM ARBITRATION (690 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/27/1999 Case Number: 99-03777 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (691 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/29/1999 Case Number: 99-03221 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;COMMON STOCK;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (692 of 1184) * NASD BrokerCheck October 14, 2005 Page 577 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/18/1999 Case Number: 99-02287 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,353.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/28/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (693 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/04/1999 Case Number: 99-00248 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;PREFERRED STOCK;MUNICIPAL BOND FUNDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,001.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/26/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (694 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/06/1998 NASD BrokerCheck October 14, 2005 Page 578 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 98-03073 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/26/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 579 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (695 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/30/1998 Case Number: 98-03824 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/01/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/01/2000 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,482.63 * BROKERAGE FIRM ARBITRATION (696 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/1999 Case Number: 99-01542 Allegations: ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,112.89 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (697 of 1184) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 580 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 03/31/1999 Case Number: 99-01130 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,100.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,160.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/22/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (698 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/18/1999 Case Number: 99-02173 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,322.54 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/19/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00 * BROKERAGE FIRM ARBITRATION (699 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/27/1999 Case Number: 99-01026 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS;CORPORATE BONDS;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,327,457.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/27/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 581 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (700 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/07/1999 Case Number: 99-00107 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/04/2000 Relief Awarded: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $88,504.31 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/04/2000 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,655.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $204,957.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,206.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (701 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/02/1998 Case Number: 98-03136 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $190,000.00 NASD BrokerCheck October 14, 2005 Page 582 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/27/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (702 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/28/1999 Case Number: 99-00193 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,500.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $295.41 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/08/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (703 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/21/1998 Case Number: 98-03780 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 583 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/2000 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/28/2000 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,495.00 * BROKERAGE FIRM ARBITRATION (704 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/05/1998 Case Number: 98-03276 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $346,594.63 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/17/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (705 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/25/1999 Case Number: 98-04699 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,200.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 584 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (706 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/04/1999 Case Number: 99-02104 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,732.26 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $450.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (708 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/11/1999 Case Number: 98-04586 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT NASD BrokerCheck October 14, 2005 Page 585 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,752.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/13/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (709 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/12/1999 Case Number: 98-04048 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $257,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/28/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (710 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 586 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/24/1999 Case Number: 99-00131 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $351,749.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/08/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,750.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,978.00 * BROKERAGE FIRM ARBITRATION (711 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/23/1998 Case Number: 98-04727 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/05/1999 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,400.00 * BROKERAGE FIRM ARBITRATION (712 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/04/1999 Case Number: 99-00254 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,244.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/24/1999 NASD BrokerCheck October 14, 2005 Page 587 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,900.00 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/24/1999 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (713 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/13/1999 Case Number: 98-03889 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,472.95 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,565.58 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/23/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (714 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/24/1998 Case Number: 98-02906 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,218.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/23/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,218.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/23/1999 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (715 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/18/1995 Case Number: 95-02855 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT NASD BrokerCheck October 14, 2005 Page 588 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/29/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (716 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/30/1998 Case Number: 98-02696 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE NASD BrokerCheck October 14, 2005 Page 589 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,729.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/25/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,391.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (717 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/13/1997 Case Number: 97-02904 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $369,945.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $123,852.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/15/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (718 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/19/1997 Case Number: 97-00143 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $318,249.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 590 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $636,498.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/13/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (719 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/01/1998 Case Number: 98-04427 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES;FANNY MAE;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/12/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,700.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (720 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/03/1998 Case Number: 97-05450 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,201.28 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/1999 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (721 of 1184) * NASD BrokerCheck October 14, 2005 Page 591 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/05/1998 Case Number: 98-00521 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $231,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/10/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $76,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (722 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/13/1998 Case Number: 98-00829 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $255,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/04/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (723 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/21/1998 Case Number: 98-02901 NASD BrokerCheck October 14, 2005 Page 592 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: UNAUTHORIZED TRADING; MISREPRESENTATION; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $103,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/22/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (724 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/18/1998 Case Number: 98-02736 Allegations: SUITABILITY Type of Securities: COMMON STOCK; CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,463.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $25.00 * BROKERAGE FIRM ARBITRATION (725 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/1998 Case Number: 98-02565 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,880.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (726 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 593 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/12/1999 Case Number: 98-02461 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (727 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/28/1998 Case Number: 98-02433 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,942.68 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (728 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/09/1998 Case Number: 98-02391 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,398.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/01/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 14, 2005 Page 594 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (729 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/1998 Case Number: 98-01030 Allegations: UNAUTHORIZED TRADING; SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/12/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (730 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/01/1998 Case Number: 98-00784 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/10/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30,152.71; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (731 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/1998 Case Number: 98-00744 Allegations: CHURNING; ACCOUNT RELATED-MARGIN CALLS; OMISSION OF FACTS; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $160,605.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $481,815.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 595 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/06/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (732 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/1998 Case Number: 98-00468 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $73,315.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,630.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (733 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1998 Case Number: 98-00264 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; SUITABILITY; OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $550,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; NASD BrokerCheck October 14, 2005 Page 596 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/26/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $353,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (734 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/09/1998 Case Number: 98-00139 Allegations: ACCOUNT RELATED-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,378.80; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,378.80; INTEREST, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/27/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,378.80; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $50.00 * BROKERAGE FIRM ARBITRATION (735 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/09/1998 Case Number: 98-00137 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; SUITABILITY; OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 597 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (736 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/06/1998 Case Number: 98-00066 Allegations: EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,706.00; INTEREST, ASKED AMOUNT $1,648.48; INTEREST, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,470.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $100.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (737 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/02/1998 Case Number: 98-00057 Allegations: MISREPRESENTATION; OMISSION OF FACTS; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $55,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (738 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1998 Case Number: 98-00055 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,055.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,310.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,055.00; NASD BrokerCheck October 14, 2005 Page 598 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,055.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (739 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1998 Case Number: 97-06006 Allegations: OMISSION OF FACTS; MISREPRESENTATION; BRCH OF FIDUCIARY DT; CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $208,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/04/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (740 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1997 Case Number: 97-05863 Allegations: EXECUTIONS-EXECUTION PRICE; UNAUTHORIZED TRADING; EXECUTIONS-LIMIT V. MARKET ORDER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,800.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (741 of 1184) * NASD BrokerCheck October 14, 2005 Page 599 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/22/1997 Case Number: 97-05860 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; OMISSION OF FACTS; SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $200,000.00; TREBLE DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/04/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $55,257.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,200.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (742 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1997 Case Number: 97-05595 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK; MUTUAL FUNDS; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 600 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/22/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (743 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1997 Case Number: 97-05393 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; BRCH OF FIDUCIARY DT; MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK; PREFERRED STOCK; MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $195,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/13/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (744 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 601 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 11/19/1997 Case Number: 97-05357 Allegations: MISREPRESENTATION; OMISSION OF FACTS; OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $20,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $250.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (745 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/11/1997 Case Number: 97-05262 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; OMISSION OF FACTS; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $94,721.11; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/03/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $17,100.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (746 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/22/1997 Case Number: 97-05216 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/14/1998 NASD BrokerCheck October 14, 2005 Page 602 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (747 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1997 Case Number: 97-05175 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,050.32 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/07/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (748 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/1997 Case Number: 97-04985 Allegations: ACCOUNT RELATED-NEGLIGENCE; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,710.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (749 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/17/1997 Case Number: 97-04972 Allegations: MISREPRESENTATION; OMISSION OF FACTS; SUITABILITY; OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 603 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $134,261.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $4,923.83; ATTORNEY'S FEES, ASKED AMOUNT $24,210.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $134,261.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $4,923.83 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $21,710.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (750 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1997 Case Number: 97-04935 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,790.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $9,500.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (751 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/08/1997 Case Number: 97-04857 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 604 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (752 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/09/1997 Case Number: 97-04856 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,814.69 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $27,629.26 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (753 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1997 Case Number: 97-04822 Allegations: EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (754 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/13/1997 Case Number: 97-04808 Allegations: TRADING DISPUTES-MARK-UPS Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,275.00 NASD BrokerCheck October 14, 2005 Page 605 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (755 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/30/1997 Case Number: 97-04669 Allegations: CHURNING; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $132,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/24/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (756 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/16/1997 Case Number: 97-04653 Allegations: ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; MISREPRESENTATION Type of Securities: COMMON STOCK; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/22/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (757 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/26/1997 NASD BrokerCheck October 14, 2005 Page 606 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 97-04402 Allegations: UNAUTHORIZED TRADING; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,939.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/05/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (758 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/14/1997 Case Number: 97-04334 Allegations: EXECUTIONS-OTHER Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,435.44 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $44,870.88 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/04/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (759 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/09/1997 Case Number: 97-04272 Allegations: OTHER; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $115,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 607 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 02/09/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (760 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1997 Case Number: 97-04112 Allegations: EXECUTIONS-FAILURE TO EXECUTE; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (761 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1997 Case Number: 97-04089 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,388.80; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/19/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,690.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (762 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 608 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 08/18/1997 Case Number: 97-04038 Allegations: ACCOUNT RELATED-OTHER Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $81,589.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/16/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $81,589.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (763 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/1998 Case Number: 97-03935 Allegations: EXECUTIONS-FAILURE TO EXECUTE; UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK; GOVERNMENT SECURITIES; LIMITED PARTNERSHIPS; MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,384.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,384.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,384.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/16/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (764 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/24/1997 Case Number: 97-03822 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-OTHER; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 609 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $72,904.26; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/12/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (765 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1997 Case Number: 97-03695 Allegations: MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 03/30/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (766 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/31/1997 Case Number: 97-03517 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,034.15; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $819.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (767 of 1184) * NASD BrokerCheck October 14, 2005 Page 610 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/17/1997 Case Number: 97-03405 Allegations: MISREPRESENTATION; SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,763.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/14/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (768 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1997 Case Number: 97-03386 Allegations: OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/22/1998 Relief Awarded: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $15,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $15,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $15,000.00 * BROKERAGE FIRM ARBITRATION (769 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/26/1997 Case Number: 97-03115 NASD BrokerCheck October 14, 2005 Page 611 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; SUITABILITY; CHURNING Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,459.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (770 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/04/1997 Case Number: 97-02755 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK; MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $122,031.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/16/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $118,600.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $950.00 * BROKERAGE FIRM ARBITRATION (771 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/1997 Case Number: 97-02744 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; OTHER; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT Type of Securities: WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $220,000.00; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 612 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 04/16/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $51,179.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (772 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/26/1997 Case Number: 97-02718 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; OTHER-OTHER Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/13/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (773 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/1997 Case Number: 97-02610 Allegations: MISREPRESENTATION; OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $333,047.34 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (774 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 613 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 06/27/1997 Case Number: 97-02604 Allegations: CHURNING; BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/13/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (775 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/09/1997 Case Number: 97-02047 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: PREFERRED STOCK; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,500.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/27/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (776 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/29/1997 Case Number: 97-01893 Allegations: MISREPRESENTATION; SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $397,366.78 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/07/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 614 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (777 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/1997 Case Number: 97-01687 Allegations: CHURNING; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OPTIONS; COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $226,649.89 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/21/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (778 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/04/1997 Case Number: 97-01511 Allegations: MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,455.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/09/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $18,398.91 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (779 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 615 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/17/1997 Case Number: 97-01124 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (780 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/1997 Case Number: 97-01096 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,359.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,562.76 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $809.73 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,298.48 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/30/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 616 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (781 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/24/1997 Case Number: 97-00940 Allegations: MISREPRESENTATION; OMISSION OF FACTS Type of Securities: GINNIE MAES; CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,198.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,336.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (782 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/24/1997 Case Number: 97-00742 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT; OTHER Type of Securities: COMMON STOCK; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $172,598.98; ATTORNEY'S FEES, ASKED AMOUNT $15,520.78 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 617 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (783 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/1997 Case Number: 97-00574 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $7,400.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (784 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1997 Case Number: 97-00570 Allegations: UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (785 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/26/1997 NASD BrokerCheck October 14, 2005 Page 618 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 97-00385 Allegations: CHURNING; OTHER; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $15,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (786 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1997 Case Number: 97-00260 Allegations: MISREPRESENTATION; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; BRCH OF FIDUCIARY DT Type of Securities: COMMODITIES FUTURES; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $119,311.80; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $54,381.70 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (787 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/18/1997 Case Number: 97-00239 NASD BrokerCheck October 14, 2005 Page 619 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $360,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $4,500.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $500.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $750.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (788 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/08/1997 Case Number: 97-00215 Allegations: SUITABILITY; UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/30/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (789 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1997 Case Number: 97-00187 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $47,000.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/24/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 14, 2005 Page 620 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (790 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/04/1997 Case Number: 97-00037 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,773.06; OTHER COSTS, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,472.04; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $4,773.06 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $4,472.04 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) * BROKERAGE FIRM ARBITRATION (791 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/26/1997 Case Number: 96-05826 Allegations: EXECUTIONS-FAILURE TO EXECUTE; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,500.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (792 of 1184) * NASD BrokerCheck October 14, 2005 Page 621 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/1997 Case Number: 96-05349 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,347.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $5,953.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (793 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/09/1996 Case Number: 96-05294 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; BRCH OF FIDUCIARY DT; OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 02/20/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (794 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/1996 Case Number: 96-05191 Allegations: MISREPRESENTATION; SUITABILITY; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES NASD BrokerCheck October 14, 2005 Page 622 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,948.98; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 10/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,417.12 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (795 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/04/1996 Case Number: 96-05155 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE; SUITABILITY; OTHER Type of Securities: OPTIONS; COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $145,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $145,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/11/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (796 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/1997 Case Number: 96-05118 Allegations: UNAUTHORIZED TRADING; SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK; OPTIONS Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,826.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,826.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/18/1998 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 623 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,200.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $550.00 * BROKERAGE FIRM ARBITRATION (797 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/23/1996 Case Number: 96-05006 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $2,345.82; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $4,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/06/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,345.82; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $4,000.00 * BROKERAGE FIRM ARBITRATION (798 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1996 Case Number: 96-04902 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,700.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (799 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 624 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 11/09/1996 Case Number: 96-04809 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,500.00; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,376.74; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (800 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1996 Case Number: 96-04802 Allegations: EXECUTIONS-FAILURE TO EXECUTE; MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,750.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $48,750.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $7,052.05 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (801 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1996 Case Number: 96-04688 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,095.50; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided NASD BrokerCheck October 14, 2005 Page 625 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,095.50 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) * BROKERAGE FIRM ARBITRATION (802 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/1996 Case Number: 96-04580 Allegations: SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,559.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/01/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (803 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/1996 Case Number: 96-04540 Allegations: UNAUTHORIZED TRADING; SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, NASD BrokerCheck October 14, 2005 Page 626 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (804 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/1996 Case Number: 96-04501 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUNICIPAL BOND FUNDS; MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500.00; OTHER COSTS, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (805 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1996 Case Number: 96-04412 Allegations: ACCOUNT RELATED-OTHER; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (806 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/11/1996 Case Number: 96-04385 NASD BrokerCheck October 14, 2005 Page 627 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: SUITABILITY; CHURNING; ACCOUNT RELATED-NEGLIGENCE; MANIPULATION Type of Securities: COMMON STOCK; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,921.00; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/20/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $17,885.71 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (807 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/04/1996 Case Number: 96-04272 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; OMISSION OF FACTS; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: OTHER TYPES OF SECURITIES; MUNICIPAL BOND FUNDS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35.35; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00; OTHER NON-MONETARY RELIEF, ASKED AMOUNT; OTHER NON-MONETARY RELIEF, ASKED AMOUNT Disposition: AWARD AGAINST PARTY Disposition Date: 08/25/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $557.97; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 14, 2005 Page 628 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (808 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/1996 Case Number: 96-04254 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: ANNUITIES; MUTUAL FUNDS; GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (809 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/14/1996 Case Number: 96-04249 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; SUITABILITY; OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/28/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $800.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (810 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 629 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 09/23/1996 Case Number: 96-04090 Allegations: UNAUTHORIZED TRADING; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,494.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (811 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/10/1996 Case Number: 96-03956 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE; BRCH OF FIDUCIARY DT; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $244,375.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $62,600.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,482.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,800.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (812 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/24/1996 Case Number: 96-03937 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER; ACCOUNT RELATED-ERRORS-CHARGES; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 630 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (813 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/1996 Case Number: 96-03622 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $92,077.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/05/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (814 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/12/1996 Case Number: 96-03527 Allegations: CHURNING; SUITABILITY; UNAUTHORIZED TRADING; OTHER Type of Securities: COMMON STOCK; PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $106,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/09/1998 NASD BrokerCheck October 14, 2005 Page 631 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $8,400.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (815 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/19/1996 Case Number: 96-03492 Allegations: UNAUTHORIZED TRADING; SUITABILITY; OTHER; CHURNING Type of Securities: COMMON STOCK; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $521,486.50 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,400.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $82,249.36 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/29/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (816 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/26/1996 Case Number: 96-03127 Allegations: EXECUTIONS-FAILURE TO EXECUTE; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/14/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, NASD BrokerCheck October 14, 2005 Page 632 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (817 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/27/1996 Case Number: 96-03096 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,767.00; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 01/29/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $27,500.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $520.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $13,750.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (818 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/1996 Case Number: 96-03064 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (819 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 633 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 08/01/1996 Case Number: 96-03055 Allegations: EXECUTIONS-FAILURE TO EXECUTE; OTHER Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,871.00; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $65,613.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (820 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/1996 Case Number: 96-03032 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,261.53 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/17/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (821 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/1996 Case Number: 96-02909 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; MISREPRESENTATION; CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $215,321.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/10/1997 NASD BrokerCheck October 14, 2005 Page 634 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (822 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/1996 Case Number: 96-02864 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (823 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/22/1996 Case Number: 96-02862 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/03/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (824 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/1996 Case Number: 96-02627 Allegations: OMISSION OF FACTS Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 635 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,937.50; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 12/06/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (825 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/1996 Case Number: 96-02455 Allegations: MISREPRESENTATION; SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 10/14/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $76,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (826 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1996 Case Number: 96-02382 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-TRANSFER Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,500.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/28/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (827 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/03/1996 Case Number: 96-02220 NASD BrokerCheck October 14, 2005 Page 636 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; SUITABILITY; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 637 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (828 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/29/1996 Case Number: 96-02082 Allegations: BRCH OF FIDUCIARY DT; OMISSION OF FACTS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,406.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (829 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/21/1996 Case Number: 96-02060 Allegations: TRADING DISPUTES-BUY IN; EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,600.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/17/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,600.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,908.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (830 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/31/1996 Case Number: 96-01883 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $750,000.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/30/1997 NASD BrokerCheck October 14, 2005 Page 638 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (831 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/28/1996 Case Number: 96-01338 Allegations: SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,016.36; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,836.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,302.79; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $6,000.00; OTHER COSTS, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $400.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (832 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/1996 Case Number: 96-01242 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; OMISSION OF FACTS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; INTEREST, ASKED AMOUNT $1,520.00; INTEREST, ASKED AMOUNT $2.37; INTEREST, ASKED AMOUNT $2.37; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $3,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,000.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 639 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (833 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/03/1996 Case Number: 96-01220 Allegations: ACCOUNT RELATED-OTHER Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (834 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/10/1996 Case Number: 96-01061 Allegations: MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/15/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 640 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (835 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/1996 Case Number: 96-00983 Allegations: OMISSION OF FACTS; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/18/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (836 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/12/1996 Case Number: 96-00970 Allegations: MISREPRESENTATION; EXECUTIONS-EXECUTION PRICE Type of Securities: WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,500.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/17/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (837 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/11/1996 Case Number: 96-00898 Allegations: SUITABILITY Type of Securities: LIMITED PARTNERSHIPS NASD BrokerCheck October 14, 2005 Page 641 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $123,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/17/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (838 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/1996 Case Number: 96-00804 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED - FAILURE TO SUPERVISE; OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,250.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 01/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $50.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (839 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/29/1996 Case Number: 96-00739 Allegations: MISREPRESENTATION; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/26/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (840 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 642 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/02/1996 Case Number: 96-00707 Allegations: SUITABILITY; CHURNING Type of Securities: GINNIE MAES; FANNY MAE; MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,087.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (841 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/1996 Case Number: 96-00682 Allegations: MISREPRESENTATION; SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; PREFERRED STOCK; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $160,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $320,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/29/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (842 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/07/1996 Case Number: 96-00646 Allegations: UNAUTHORIZED TRADING; MISREPRESENTATION; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE NASD BrokerCheck October 14, 2005 Page 643 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (843 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/16/1996 Case Number: 96-00586 Allegations: CHURNING; UNAUTHORIZED TRADING; BRCH OF FIDUCIARY DT; SUITABILITY Type of Securities: CORPORATE BONDS; GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,596.40; OTHER COSTS, ASKED AMOUNT $150.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/27/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,043.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) * BROKERAGE FIRM ARBITRATION (844 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 644 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 02/12/1996 Case Number: 96-00549 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; MISREPRESENTATION; OTHER Type of Securities: OPTIONS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,598.51 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (845 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/29/1996 Case Number: 96-00535 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $46,400.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/08/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (846 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1996 Case Number: 96-00520 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,054.15; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 645 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 12/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $19,054.15; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,280.98; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (847 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/08/1996 Case Number: 96-00504 Allegations: SUITABILITY; UNAUTHORIZED TRADING; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,500.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER NON-MONETARY RELIEF, ASKED AMOUNT; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $23,879.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (848 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/1996 Case Number: 96-00384 Allegations: CHURNING; UNAUTHORIZED TRADING; MISREPRESENTATION Type of Securities: COMMON STOCK; OPTIONS; CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,615,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 10/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,200.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (849 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 646 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/17/1996 Case Number: 96-00111 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; OMISSION OF FACTS Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,722.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,137.16 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $209.09 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (850 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/16/1996 Case Number: 96-00099 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (851 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1996 Case Number: 96-00027 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT NASD BrokerCheck October 14, 2005 Page 647 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-ERRORS-CHARGES; EXECUTIONS-LIMIT V. MARKET ORDER Type of Securities: COMMON STOCK; GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,608.32; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $130.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/18/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,564.18; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (852 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/1996 Case Number: 95-06103 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; CORPORATE BONDS; GOVERNMENT SECURITIES; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $198,990.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $201,131.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/19/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $75,384.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $750.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (853 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/1996 Case Number: 95-06075 Allegations: SUITABILITY; UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 648 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 02/09/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $75,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (854 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1996 Case Number: 95-05999 Allegations: SUITABILITY; CHURNING; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; OTHER TYPES OF SECURITIES; WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $68,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $68,000.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 10/21/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30,276.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (855 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/26/1995 Case Number: 95-05966 Allegations: UNAUTHORIZED TRADING; CHURNING; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; PREFERRED STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/31/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $66,152.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF NASD BrokerCheck October 14, 2005 Page 649 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (856 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/1996 Case Number: 95-05922 Allegations: MISREPRESENTATION; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; BRCH OF FIDUCIARY DT Type of Securities: OPTIONS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $72,264.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/06/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (857 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/1996 Case Number: 95-05904 Allegations: SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (858 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1996 NASD BrokerCheck October 14, 2005 Page 650 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 95-05802 Allegations: OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/04/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (859 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/17/1996 Case Number: 95-05782 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; BRCH OF FIDUCIARY DT; OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $645,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $146,831.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 651 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (860 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/11/1995 Case Number: 95-05757 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (861 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/02/1996 Case Number: 95-05716 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,620.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $943.72; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,620.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $943.72; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $436.28; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (862 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/19/1995 Case Number: 95-05715 Allegations: OMISSION OF FACTS; MISREPRESENTATION NASD BrokerCheck October 14, 2005 Page 652 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,564.36 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 03/28/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (863 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/07/1995 Case Number: 95-05672 Allegations: UNAUTHORIZED TRADING; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,520.20 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,463.40 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/18/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (864 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/21/1996 Case Number: 95-05647 Allegations: ACCOUNT RELATED-NEGLIGENCE; UNAUTHORIZED TRADING; MISREPRESENTATION Type of Securities: GINNIE MAES; COMMON STOCK; MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/27/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (865 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1995 Case Number: 95-05587 Allegations: MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED - NASD BrokerCheck October 14, 2005 Page 653 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,519.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,200.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (866 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/1995 Case Number: 95-05568 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,199.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (867 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/05/1995 Case Number: 95-05559 Allegations: MISREPRESENTATION; SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $212,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $424,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/07/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 654 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (868 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/16/1995 Case Number: 95-05395 Allegations: SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; BRCH OF FIDUCIARY DT; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,598.35; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 03/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (869 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/21/1995 Case Number: 95-05169 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 04/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (870 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/1995 Case Number: 95-05056 Allegations: ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,500.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 NASD BrokerCheck October 14, 2005 Page 655 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 04/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (871 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1995 Case Number: 95-04931 Allegations: SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 08/15/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (872 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/1995 Case Number: 95-04916 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE; SUITABILITY; MISREPRESENTATION Type of Securities: OPTIONS; COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (873 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 656 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 10/18/1995 Case Number: 95-04850 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; PREFERRED STOCK; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,401.00; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/04/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,115.90 JOINTLY AND SEVERALLY; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (874 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/30/1995 Case Number: 95-04779 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,099.69; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,629.19; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) * BROKERAGE FIRM ARBITRATION (875 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/26/1995 Case Number: 95-04711 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 657 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,600.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/12/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30,600.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,782.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $8,029.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (876 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/11/1995 Case Number: 95-04676 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,378.40; INTEREST, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $17,018.75 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (877 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/13/1995 Case Number: 95-04664 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $103.46; INTEREST, ASKED AMOUNT $235.88; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50.00; OTHER COSTS, ASKED AMOUNT $337.17; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/24/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 658 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $305.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (878 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/1995 Case Number: 95-04415 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; PREFERRED STOCK; CORPORATE BONDS; WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $376,571.00; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/29/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $750.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (879 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/13/1995 Case Number: 95-04348 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,158.84 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (880 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 659 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 09/13/1995 Case Number: 95-04337 Allegations: BRCH OF FIDUCIARY DT; OTHER; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $768,250.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/19/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (881 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/12/1995 Case Number: 95-04290 Allegations: MISREPRESENTATION; SUITABILITY; OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,254.00; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/24/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,018.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (882 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/25/1995 Case Number: 95-04231 Allegations: MISREPRESENTATION Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,614.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (883 of 1184) * NASD BrokerCheck October 14, 2005 Page 660 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/08/1995 Case Number: 95-04220 Allegations: UNAUTHORIZED TRADING Type of Securities: COMMON STOCK; PREFERRED STOCK; OPTIONS; WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $27,150.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $27,150.00 * BROKERAGE FIRM ARBITRATION (884 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/1995 Case Number: 95-04191 Allegations: SUITABILITY; UNAUTHORIZED TRADING; CHURNING Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $111,793.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $91,208.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $37,500.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $200.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (885 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/30/1995 Case Number: 95-04147 Allegations: SUITABILITY; MISREPRESENTATION; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $39,562.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING NASD BrokerCheck October 14, 2005 Page 661 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 04/26/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (886 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/30/1995 Case Number: 95-04140 Allegations: CHURNING; SUITABILITY; OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,253.21; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,563.50; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $900,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/04/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $81,765.14 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $18,234.86 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $13,200.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (887 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/1995 Case Number: 95-04046 Allegations: SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK; MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $105,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/09/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 662 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (888 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/07/1995 Case Number: 95-04021 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (889 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/18/1995 Case Number: 95-03957 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; SUITABILITY Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,500.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,500.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/21/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $6,450.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,675.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (890 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 663 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/14/1995 Case Number: 95-03907 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; CHURNING; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $265,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (891 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/10/1995 Case Number: 95-03854 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,000.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/18/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $26,692.30; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (892 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/1995 Case Number: 95-03845 Allegations: UNAUTHORIZED TRADING; SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.01; OTHER COSTS, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $1,000,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.01; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; TREBLE NASD BrokerCheck October 14, 2005 Page 664 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $1,000,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $69,684.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $24,762.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (893 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/07/1995 Case Number: 95-03781 Allegations: ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; MISREPRESENTATION; CHURNING Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $105,148.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/09/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (894 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/1995 Case Number: 95-03746 Allegations: SUITABILITY Type of Securities: COMMON STOCK; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/24/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 14, 2005 Page 665 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (895 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/24/1995 Case Number: 95-03715 Allegations: OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,637.50 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/21/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (896 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/03/1995 Case Number: 95-03700 Allegations: CHURNING; SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,710.47; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $31,740.53; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $73,031.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/22/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $35,082.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,105.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (897 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 666 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 08/22/1995 Case Number: 95-03699 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $772.28; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $9,278.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $929.90; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,509.00 * BROKERAGE FIRM ARBITRATION (898 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/18/1995 Case Number: 95-03421 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; MUNICIPAL BOND FUNDS; CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/24/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (899 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/31/1995 Case Number: 95-03420 Allegations: OMISSION OF FACTS; BRCH OF FIDUCIARY DT; SUITABILITY Type of Securities: GOVERNMENT SECURITIES; MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING NASD BrokerCheck October 14, 2005 Page 667 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/29/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (900 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/10/1995 Case Number: 95-03291 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $313,883.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $154,101.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $941,650.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (901 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/09/1995 Case Number: 95-03176 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,487.78; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (902 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 668 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 06/27/1995 Case Number: 95-03046 Allegations: UNAUTHORIZED TRADING; MISREPRESENTATION; SUITABILITY; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $66,200.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $25,000.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (903 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/1995 Case Number: 95-03034 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: GOVERNMENT SECURITIES; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,700.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (904 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/07/1995 Case Number: 95-03023 Allegations: MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $232,308.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $106,899.37; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 669 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (905 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/28/1995 Case Number: 95-02988 Allegations: EXECUTIONS-FAILURE TO EXECUTE; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $566,545.32; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (906 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/03/1995 Case Number: 95-02800 Allegations: OTHER; SUITABILITY; OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,350.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $8,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (907 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1995 Case Number: 95-02740 NASD BrokerCheck October 14, 2005 Page 670 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 03/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (908 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/15/1995 Case Number: 95-02726 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; OTHER-OTHER Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $956,925.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $114,430.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 02/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (909 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/1995 Case Number: 95-02692 Allegations: UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,443.61 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 10/17/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 671 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (910 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/18/1995 Case Number: 95-02355 Allegations: CHURNING; SUITABILITY; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $117,158.21 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (911 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/24/1995 Case Number: 95-02299 Allegations: EXECUTIONS-FAILURE TO EXECUTE; EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,133.40; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 11/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,497.36 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $125.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) * BROKERAGE FIRM ARBITRATION (912 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1995 Case Number: 95-02215 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,750.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,750.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 10/05/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 672 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,250.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (913 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/25/1995 Case Number: 95-02196 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $95,862.78; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (914 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/17/1995 Case Number: 95-02114 Allegations: EXECUTIONS-EXECUTION PRICE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $38,750.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (915 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/05/1995 Case Number: 95-02073 NASD BrokerCheck October 14, 2005 Page 673 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: OMISSION OF FACTS; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $947.50 Disposition: AWARD AGAINST PARTY Disposition Date: 01/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $250.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (916 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/1995 Case Number: 95-02013 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/12/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $204,114.95 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $500,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $48,001.67 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (917 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/05/1995 Case Number: 95-01999 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 10/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (918 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 674 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/04/1995 Case Number: 95-01869 Allegations: SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $310,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $620,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/05/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (919 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/13/1995 Case Number: 95-01806 Allegations: MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/21/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (920 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/27/1995 Case Number: 95-01792 Allegations: CHURNING; SUITABILITY; UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,372.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,325.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,829.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,071.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/01/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 675 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (921 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/28/1995 Case Number: 95-01789 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 11/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (922 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/20/1995 Case Number: 95-01771 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,387.33 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/04/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (923 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/10/1995 Case Number: 95-01768 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; MISREPRESENTATION; NASD BrokerCheck October 14, 2005 Page 676 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACCOUNT RELATED-NEGLIGENCE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/08/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (924 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/1995 Case Number: 95-01683 Allegations: SUITABILITY; CHURNING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $56,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $56,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (925 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/27/1995 Case Number: 95-01673 Allegations: EXECUTIONS-FAILURE TO EXECUTE; MISREPRESENTATION; MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,435.24 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/13/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (926 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 677 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 07/08/1995 Case Number: 95-01611 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 11/09/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (927 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/24/1995 Case Number: 95-01608 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,600.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 10/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (928 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/21/1995 Case Number: 95-01607 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,300.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/08/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (929 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 678 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/04/1995 Case Number: 95-01552 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 02/26/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (930 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/1995 Case Number: 95-01382 Allegations: MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,500.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/15/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (931 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/17/1995 Case Number: 95-01239 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; OMISSION OF FACTS Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,983.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,802.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/23/1996 NASD BrokerCheck October 14, 2005 Page 679 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (932 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/18/1995 Case Number: 95-01199 Allegations: ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (933 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/23/1995 Case Number: 95-01182 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,653.52 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/20/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (934 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/1995 Case Number: 95-01117 Allegations: SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OTHER TYPES OF SECURITIES; MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,173.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 680 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/05/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (935 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/06/1995 Case Number: 95-01097 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $391.71 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 02/29/1996 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (936 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/1995 Case Number: 95-01093 Allegations: ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,400.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $23,768.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $8,319.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $400.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (937 of 1184) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 681 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 03/13/1995 Case Number: 95-01087 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (938 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 95-01080 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS; MUNICIPAL BOND FUNDS; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/25/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (939 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/1995 Case Number: 95-01061 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE NASD BrokerCheck October 14, 2005 Page 682 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,719.47; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,280.53 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/16/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (940 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/25/1995 Case Number: 95-00980 Allegations: SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,999.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 05/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (941 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/1995 Case Number: 95-00687 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 03/26/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (942 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/28/1995 NASD BrokerCheck October 14, 2005 Page 683 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 95-00623 Allegations: MISREPRESENTATION; OMISSION OF FACTS; UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,790,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,250.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (943 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/15/1995 Case Number: 95-00618 Allegations: CHURNING; UNAUTHORIZED TRADING; SUITABILITY; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,623,608.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,600,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/18/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (944 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/1995 Case Number: 95-00577 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; OMISSION OF FACTS Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 684 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (945 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/1995 Case Number: 95-00565 Allegations: UNAUTHORIZED TRADING; CHURNING; SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $485,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/21/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (946 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/06/1995 Case Number: 95-00451 Allegations: OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,298.44; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (947 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 95-00412 Allegations: SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,739.53 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 685 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (948 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/31/1995 Case Number: 95-00399 Allegations: SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; OMISSION OF FACTS Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,208.30; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/21/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (949 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/09/1995 Case Number: 95-00395 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/27/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (950 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/25/1995 Case Number: 95-00286 Allegations: SUITABILITY; MISREPRESENTATION; UNAUTHORIZED TRADING; NASD BrokerCheck October 14, 2005 Page 686 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/29/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (951 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1995 Case Number: 95-00268 Allegations: UNAUTHORIZED TRADING Type of Securities: COMMON STOCK; WARRANTS/RIGHTS; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $77,757.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $20,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $15,000.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (952 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/21/1995 Case Number: 95-00243 Allegations: SUITABILITY; OMISSION OF FACTS; MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,460.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $20,998.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $5,054.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING NASD BrokerCheck October 14, 2005 Page 687 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 12/07/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (953 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/06/1995 Case Number: 95-00203 Allegations: MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (954 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/07/1995 Case Number: 95-00199 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,880.71; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $7,880.71 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (955 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/11/1995 Case Number: 95-00108 NASD BrokerCheck October 14, 2005 Page 688 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: MISREPRESENTATION; SUITABILITY; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: PREFERRED STOCK; MUNICIPAL BOND FUNDS; GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,000,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,400,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (956 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/10/1995 Case Number: 95-00102 Allegations: CHURNING; BRCH OF FIDUCIARY DT; UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,001.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/21/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (957 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 94-05575 Allegations: SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $817,791.70 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING NASD BrokerCheck October 14, 2005 Page 689 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 10/10/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (958 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/1995 Case Number: 94-05564 Allegations: MISREPRESENTATION; ACCOUNT RELATED-DIVIDENDS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $47,172.50; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $6,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (959 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/03/1995 Case Number: 94-05519 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,786.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/29/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (960 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1995 Case Number: 94-05493 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; SUITABILITY Type of Securities: COMMON STOCK; WARRANTS/RIGHTS Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,439.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 690 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 05/05/1997 Relief Awarded: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $7,500.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $42,500.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (961 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/05/1995 Case Number: 94-05434 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $920.89 Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $516.00 JOINTLY AND SEVERALLY * BROKERAGE FIRM ARBITRATION (962 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/18/1995 Case Number: 94-05218 Allegations: SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,777.66 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 07/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (963 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1995 Case Number: 94-05177 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 691 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (964 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/1994 Case Number: 94-05102 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; MISREPRESENTATION; OMISSION OF FACTS; CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,895.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (965 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/18/1995 Case Number: 94-04990 Allegations: ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $162,205.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/05/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (966 of 1184) * NASD BrokerCheck October 14, 2005 Page 692 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/1994 Case Number: 94-04964 Allegations: ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/27/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (967 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1994 Case Number: 94-04810 Allegations: SUITABILITY; MISREPRESENTATION; MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $124,636.54 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/11/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (968 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/1995 Case Number: 94-04765 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $883.65; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 693 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL), AWARD AMOUNT $883.65; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30.00 * BROKERAGE FIRM ARBITRATION (969 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/04/1995 Case Number: 94-04742 Allegations: OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,500.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 11/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (970 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/19/1994 Case Number: 94-04620 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/06/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (971 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/1994 Case Number: 94-04579 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,400.18 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,202.43 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 694 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (972 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/28/1994 Case Number: 94-04569 Allegations: SUITABILITY Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,760.39; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 11/13/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,975.79; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (973 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/15/1994 Case Number: 94-04484 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; SUITABILITY; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $38,244.15 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 695 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (974 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1994 Case Number: 94-04407 Allegations: BRCH OF FIDUCIARY DT; CHURNING Type of Securities: COMMON STOCK; OPTIONS; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $817,321.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/10/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (975 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1994 Case Number: 94-04390 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $134,205.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (976 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/02/1995 Case Number: 94-04354 Allegations: SUITABILITY; OMISSION OF FACTS; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS; GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,194.57; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY NASD BrokerCheck October 14, 2005 Page 696 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $126,583.71; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $33,958.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $750.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) * BROKERAGE FIRM ARBITRATION (977 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1994 Case Number: 94-04285 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $268,271.55; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $227,623.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (978 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/29/1994 Case Number: 94-04091 Allegations: MISREPRESENTATION; OMISSION OF FACTS; SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,051.23; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $81,154.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $8,287.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST NASD BrokerCheck October 14, 2005 Page 697 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (979 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/10/1994 Case Number: 94-04069 Allegations: SUITABILITY; MISREPRESENTATION; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,050.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,062.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $936.45 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (980 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/19/1994 Case Number: 94-03888 Allegations: UNAUTHORIZED TRADING; MISREPRESENTATION; SUITABILITY; OMISSION OF FACTS Type of Securities: COMMON STOCK; MUNICIPAL BONDS; ANNUITIES; GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,150,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (981 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/08/1994 Case Number: 94-03869 Allegations: OTHER-OTHER NASD BrokerCheck October 14, 2005 Page 698 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $82,142.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/13/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (982 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/26/1994 Case Number: 94-03859 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (983 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/15/1994 Case Number: 94-03827 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,108.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (984 of 1184) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 699 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 11/08/1994 Case Number: 94-03791 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,996.43; ATTORNEY'S FEES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 01/15/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $42,293.43 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) * BROKERAGE FIRM ARBITRATION (985 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/14/1994 Case Number: 94-03665 Allegations: SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,800.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (986 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/13/1994 Case Number: 94-03661 Allegations: BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,777.62 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $950.82 * BROKERAGE FIRM ARBITRATION (987 of 1184) * NASD BrokerCheck October 14, 2005 Page 700 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/29/1994 Case Number: 94-03659 Allegations: UNAUTHORIZED TRADING; MISREPRESENTATION; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/04/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (988 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/27/1994 Case Number: 94-03599 Allegations: SUITABILITY; CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (989 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/14/1994 Case Number: 94-03440 Allegations: UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO NASD BrokerCheck October 14, 2005 Page 701 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK; WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $20,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,637.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (990 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/1994 Case Number: 94-03424 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 05/15/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (991 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/30/1994 Case Number: 94-03356 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $240,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/11/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $218,576.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD NASD BrokerCheck October 14, 2005 Page 702 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (992 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/06/1994 Case Number: 94-03274 Allegations: UNAUTHORIZED TRADING; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,294.94; OTHER COSTS, ASKED AMOUNT $200.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/08/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $50.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (993 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/1994 Case Number: 94-03124 Allegations: UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (994 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1994 Case Number: 94-03054 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $951,850.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $951,850.00; TREBLE DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 703 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $27,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (995 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/1994 Case Number: 94-03029 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $508,325.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $508,325.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (996 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/20/1994 Case Number: 94-02904 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $59,445.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $59,445.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $21,964.92 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) NASD BrokerCheck October 14, 2005 Page 704 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (997 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/19/1994 Case Number: 94-02840 Allegations: CHURNING; UNAUTHORIZED TRADING Type of Securities: MUNICIPAL BOND FUNDS; ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,717.05; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,027.95; OTHER COSTS, ASKED AMOUNT $250.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,950.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) * BROKERAGE FIRM ARBITRATION (998 of 1184) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1994 Case Number: 94-02683 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 06/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (999 of 1184) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/26/1994 Case Number: 94-02679 NASD BrokerCheck October 14, 2005 Page 705 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: MISREPRESENTATION; SUITABILITY Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,611.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1000 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/03/1994 Case Number: 94-02613 Allegations: SUITABILITY; MISREPRESENTATION; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1001 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/23/1994 Case Number: 94-02580 Allegations: MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $102,803.48 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1002 of 1184) NASD BrokerCheck October 14, 2005 Page 706 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/01/1994 Case Number: 94-02568 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,049.78; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/31/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $59,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1003 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/10/1994 Case Number: 94-02415 Allegations: BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $737.88 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $680.00 BROKERAGE FIRM ARBITRATION (1004 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/08/1994 Case Number: 94-02194 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,078.50 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $125.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 12/29/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 707 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1005 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/01/1994 Case Number: 94-02186 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,803.42 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $964.62 BROKERAGE FIRM ARBITRATION (1006 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/1994 Case Number: 94-02131 Allegations: ACCOUNT RELATED-OTHER; EXECUTIONS-FAILURE TO EXECUTE; OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $428.34 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $229.11 BROKERAGE FIRM ARBITRATION (1007 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1994 Case Number: 94-01903 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 14, 2005 Page 708 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1008 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/29/1994 Case Number: 94-01901 Allegations: CHURNING; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/12/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1009 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/1994 Case Number: 94-01799 Allegations: UNAUTHORIZED TRADING; SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS Type of Securities: COMMON STOCK; OPTIONS; WARRANTS/RIGHTS; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/29/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1010 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/19/1994 Case Number: 94-01730 Allegations: OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,009.14 Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 709 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,679.31 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1011 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/19/1994 Case Number: 94-01710 Allegations: SUITABILITY; OMISSION OF FACTS; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,000.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/02/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $29,720.90 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1012 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/10/1994 Case Number: 94-01689 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $883.04 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $472.33 BROKERAGE FIRM ARBITRATION (1013 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/10/1994 Case Number: 94-01688 Allegations: ACCOUNT RELATED-OTHER NASD BrokerCheck October 14, 2005 Page 710 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,687.84 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,042.21 BROKERAGE FIRM ARBITRATION (1014 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/28/1994 Case Number: 94-01662 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,419.01 Disposition: AWARD AGAINST PARTY Disposition Date: 12/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $759.00 BROKERAGE FIRM ARBITRATION (1015 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/23/1994 Case Number: 94-01495 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $487,692.77 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,463,078.31 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $1,463,078.31 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/15/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1016 of 1184) Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 711 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 12/21/1994 Case Number: 94-01450 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,500.00 BROKERAGE FIRM ARBITRATION (1017 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/07/1994 Case Number: 94-01241 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; TRADING DISPUTES-SELL OUTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 09/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1018 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1994 Case Number: 94-01187 Allegations: MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT; OTHER Type of Securities: REAL ESTATE INVESTMENT TRUST; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $66,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/26/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 14, 2005 Page 712 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1019 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/08/1994 Case Number: 94-01050 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00; SPECIFIC PERFORMANCE, ASKED AMOUNT; SPECIFIC PERFORMANCE, ASKED AMOUNT; SPECIFIC PERFORMANCE, ASKED AMOUNT; SPECIFIC PERFORMANCE, ASKED AMOUNT Disposition: AWARD AGAINST PARTY Disposition Date: 08/31/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1020 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/17/1994 Case Number: 94-00690 Allegations: SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,087.19 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/03/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1021 of 1184) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 713 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/13/1994 Case Number: 94-00613 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,409.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1022 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/23/1994 Case Number: 94-00499 Allegations: MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS; LIMITED PARTNERSHIPS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $300,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $800,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1023 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/1994 Case Number: 94-00433 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: REAL ESTATE INVESTMENT TRUST; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,125.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING NASD BrokerCheck October 14, 2005 Page 714 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1024 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/15/1994 Case Number: 93-05424 Allegations: SUITABILITY; CHURNING; UNAUTHORIZED TRADING; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; TREBLE DAMAGES, ASKED AMOUNT $285,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $400,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1025 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/22/1994 Case Number: 93-05327 Allegations: MISREPRESENTATION; OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,281.95 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 07/12/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1026 of 1184) Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 715 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 02/10/1994 Case Number: 93-05302 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $898,301.00; INTEREST, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1027 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/09/1993 Case Number: 93-04626 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,646.50 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 09/27/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1028 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/21/1993 Case Number: 93-04314 Allegations: SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,002.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 716 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1029 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/10/1993 Case Number: 93-03767 Allegations: SUITABILITY; MISREPRESENTATION; BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $298,412.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $23,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1030 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1993 Case Number: 93-03266 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,250.00; OTHER COSTS, ASKED AMOUNT $150.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $7,225.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1031 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/26/1993 Case Number: 93-02564 Allegations: SUITABILITY Type of Securities: COMMON STOCK; OPTIONS; CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,208.19; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING NASD BrokerCheck October 14, 2005 Page 717 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/29/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1032 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/1993 Case Number: 93-02542 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $10,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,461.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1033 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/18/1993 Case Number: 93-02372 Allegations: MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,773.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/29/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1034 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/1993 Case Number: 93-01799 Allegations: TRADING DISPUTES-TRANSFERS NASD BrokerCheck October 14, 2005 Page 718 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $450.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1035 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/19/1993 Case Number: 93-01404 Allegations: SUITABILITY; MISREPRESENTATION; UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/03/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1036 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/1993 Case Number: 93-01072 Allegations: SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/15/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,125.00 BROKERAGE FIRM ARBITRATION (1037 of 1184) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 719 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/12/1993 Case Number: 93-00875 Allegations: ACCOUNT RELATED-TRANSFER; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,875.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 07/14/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1038 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/16/1993 Case Number: 93-00764 Allegations: MISREPRESENTATION; SUITABILITY; UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/16/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1039 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/1993 Case Number: 93-00302 Allegations: MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,556.62 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 08/03/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1040 of 1184) NASD BrokerCheck October 14, 2005 Page 720 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/02/1993 Case Number: 93-00283 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/14/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $29,750.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1041 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/1993 Case Number: 93-00268 Allegations: MISREPRESENTATION; OTHER Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,085.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1042 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/06/1993 Case Number: 93-00168 Allegations: CHURNING; UNAUTHORIZED TRADING; BRCH OF FIDUCIARY DT; OTHER Type of Securities: LIMITED PARTNERSHIPS; REAL ESTATE INVESTMENT TRUST; OPTIONS; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00; DECLARATORY JUDGEMENT, ASKED AMOUNT; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $187,314.00; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $205,472.00; INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 721 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 08/15/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $299,801.00; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1043 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/28/1993 Case Number: 93-00113 Allegations: OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,600.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/13/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $387.50 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1044 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/1993 Case Number: 93-00098 Allegations: CHURNING; UNAUTHORIZED TRADING; MISREPRESENTATION; OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1045 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/14/1993 NASD BrokerCheck October 14, 2005 Page 722 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 93-00029 Allegations: SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; OTHER COSTS, ASKED AMOUNT $150.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,509.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $75.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1046 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/16/1993 Case Number: 92-04384 Allegations: EXECUTIONS-FAILURE TO EXECUTE; SUITABILITY Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $81,638.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1047 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/18/1993 Case Number: 92-04255 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $636,382.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; SPECIFIC PERFORMANCE, ASKED AMOUNT; SPECIFIC PERFORMANCE, ASKED AMOUNT; SPECIFIC PERFORMANCE, ASKED AMOUNT; SPECIFIC PERFORMANCE, ASKED AMOUNT; SPECIFIC PERFORMANCE, ASKED AMOUNT; SPECIFIC PERFORMANCE, ASKED AMOUNT; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $469,266.65 Disposition: AWARD AGAINST PARTY Disposition Date: 11/17/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL); PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC NASD BrokerCheck October 14, 2005 Page 723 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $278,032.14 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1048 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/15/1992 Case Number: 92-04178 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/21/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $50,000.00 BROKERAGE FIRM ARBITRATION (1049 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/15/1992 Case Number: 92-04110 Allegations: CHURNING; UNAUTHORIZED TRADING; SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OPTIONS; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $171,728.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/06/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1050 of 1184) NASD BrokerCheck October 14, 2005 Page 724 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/1993 Case Number: 92-04103 Allegations: SUITABILITY; OMISSION OF FACTS; MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,115.00 Disposition: AWARD AGAINST PARTY Disposition Date: 11/15/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $9,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1051 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/28/1993 Case Number: 92-04030 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00; INTEREST, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $600,000.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $24,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1052 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/22/1992 Case Number: 92-04000 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,390.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $70,390.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/15/1993 NASD BrokerCheck October 14, 2005 Page 725 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1053 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/12/1992 Case Number: 92-03721 Allegations: SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; CHURNING; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $112,508.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $49,504.44 BROKERAGE FIRM ARBITRATION (1054 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1992 Case Number: 92-03474 Allegations: MISREPRESENTATION; ACCOUNT RELATED-OTHER; ACCOUNT RELATED-NEGLIGENCE; OTHER Type of Securities: MUNICIPAL BONDS; GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 05/14/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1055 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/23/1992 Case Number: 92-03466 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 726 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 12/27/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $48,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1056 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/23/1992 Case Number: 92-03142 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 11/15/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $116,290.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1057 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/04/1992 Case Number: 92-02949 Allegations: MISREPRESENTATION; OMISSION OF FACTS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $7,400.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1058 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/1992 NASD BrokerCheck October 14, 2005 Page 727 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 92-02745 Allegations: MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $104,138.45; SPECIFIC PERFORMANCE, ASKED AMOUNT; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/06/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1059 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1992 Case Number: 92-02660 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; PREFERRED STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $261,460.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/28/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $37,429.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $108,533.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1060 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/07/1992 Case Number: 92-02549 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $220,156.36; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $65,859.04; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD NASD BrokerCheck October 14, 2005 Page 728 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $23,803.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $950.00 BROKERAGE FIRM ARBITRATION (1061 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/04/1992 Case Number: 92-02385 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; CHURNING; MISREPRESENTATION Type of Securities: COMMON STOCK; LIMITED PARTNERSHIPS; MUNICIPAL BOND FUNDS; MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $409,000.00; TREBLE DAMAGES, ASKED AMOUNT $1,227,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $81,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $60,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $60,000.00 BROKERAGE FIRM ARBITRATION (1062 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/1992 Case Number: 92-02337 Allegations: MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE; OMISSION OF FACTS; OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,005.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/01/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1063 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/31/1992 Case Number: 92-02093 Allegations: UNAUTHORIZED TRADING; OTHER NASD BrokerCheck October 14, 2005 Page 729 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/20/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1064 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/18/1992 Case Number: 92-01901 Allegations: UNAUTHORIZED TRADING; OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $208,795.00; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1065 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/01/1992 Case Number: 92-01882 Allegations: SUITABILITY; OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1066 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/1992 Case Number: 92-01815 Allegations: OMISSION OF FACTS; SUITABILITY; MISREPRESENTATION; BRCH OF FIDUCIARY DT NASD BrokerCheck October 14, 2005 Page 730 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: CORPORATE BONDS; MUTUAL FUNDS Relief Asked: INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/25/1993 Relief Awarded: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $14,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1067 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/1992 Case Number: 92-01803 Allegations: CHURNING Type of Securities: OPTIONS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/14/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1068 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/15/1992 Case Number: 92-01692 Allegations: MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,295.92 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/23/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1069 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/10/1992 Case Number: 92-01680 NASD BrokerCheck October 14, 2005 Page 731 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: CHURNING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK; PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $135,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $21,778.34 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1070 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/20/1992 Case Number: 92-01675 Allegations: SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,326.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $6,674.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $16,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1071 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/20/1992 Case Number: 92-01632 Allegations: SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $19,893.60; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,894.00 BROKERAGE FIRM ARBITRATION (1072 of 1184) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 732 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/14/1992 Case Number: 92-01631 Allegations: SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $61,393.57; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,893.60 Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $61,393.57; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $19,893.60 BROKERAGE FIRM ARBITRATION (1073 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/1992 Case Number: 92-01558 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; BRCH OF FIDUCIARY DT; MISREPRESENTATION; OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/25/1993 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1074 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/12/1992 Case Number: 92-01209 Allegations: MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $31,637.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $24,205.93 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1075 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 733 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/09/1992 Case Number: 92-01165 Allegations: UNAUTHORIZED TRADING; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS; COMMON STOCK; OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $33,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1076 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/06/1992 Case Number: 92-01089 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,545.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1077 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/13/1992 Case Number: 92-01064 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: REAL ESTATE INVESTMENT TRUST; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $46,600.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/03/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $25,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1078 of 1184) NASD BrokerCheck October 14, 2005 Page 734 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/06/1992 Case Number: 92-00965 Allegations: UNAUTHORIZED TRADING; CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.01 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/26/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1079 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/1992 Case Number: 92-00963 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $159,627.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,754.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $141,600.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $25,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1080 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/1992 Case Number: 92-00885 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,500.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 08/24/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1081 of 1184) NASD BrokerCheck October 14, 2005 Page 735 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/1992 Case Number: 92-00747 Allegations: SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $950.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $224,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/09/1993 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1082 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/1992 Case Number: 92-00735 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $999,202.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/19/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1083 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/19/1992 NASD BrokerCheck October 14, 2005 Page 736 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 92-00504 Allegations: SUITABILITY; MISREPRESENTATION; BRCH OF FIDUCIARY DT; OMISSION OF FACTS Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,258.27 Disposition: AWARD AGAINST PARTY Disposition Date: 01/22/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $15,750.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1084 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/1992 Case Number: 92-00419 Allegations: UNAUTHORIZED TRADING; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; CHURNING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $126,619.06 Disposition: AWARD AGAINST PARTY Disposition Date: 06/30/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $91,787.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1085 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/03/1992 Case Number: 92-00337 Allegations: SUITABILITY; CHURNING; MISREPRESENTATION Type of Securities: CORPORATE BONDS; GOVERNMENT SECURITIES; MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $144,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $39,417.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1086 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1992 Case Number: 92-00157 NASD BrokerCheck October 14, 2005 Page 737 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: MISREPRESENTATION; SUITABILITY; BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/22/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1087 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/1992 Case Number: 92-00061 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,154.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/26/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1088 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/25/1992 Case Number: 92-00054 Allegations: MISREPRESENTATION; SUITABILITY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,785.00; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 07/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 738 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1089 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/27/1992 Case Number: 92-00003 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $507.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/20/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $350.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1090 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/1992 Case Number: 91-04042 Allegations: BRCH OF FIDUCIARY DT; MISREPRESENTATION; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK; WARRANTS/RIGHTS; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,362.50 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1091 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1992 Case Number: 91-03950 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500.00 Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 739 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 07/23/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $148.00 BROKERAGE FIRM ARBITRATION (1092 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1991 Case Number: 91-03922 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,999.90 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 07/07/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1093 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/16/1991 Case Number: 91-03626 Allegations: UNAUTHORIZED TRADING; CHURNING; BRCH OF FIDUCIARY DT; SUITABILITY Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,366.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 08/17/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1094 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/08/1991 Case Number: 91-03392 Allegations: SUITABILITY; MISREPRESENTATION; BRCH OF FIDUCIARY DT NASD BrokerCheck October 14, 2005 Page 740 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $115,074.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/21/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1095 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1991 Case Number: 91-03384 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; SUITABILITY; CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30,730.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1096 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/06/1991 Case Number: 91-03370 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $38,794.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/24/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $38,794.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,431.16 BROKERAGE FIRM ARBITRATION (1097 of 1184) Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 741 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 12/02/1991 Case Number: 91-03288 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; SUITABILITY; MISREPRESENTATION Type of Securities: COMMON STOCK; GINNIE MAES; LIMITED PARTNERSHIPS; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/18/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $40,725.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1098 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/1991 Case Number: 91-02762 Allegations: MISREPRESENTATION; CHURNING Type of Securities: MUNICIPAL BOND FUNDS; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 06/16/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1099 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/1991 Case Number: 91-02394 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $279,214.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 742 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1100 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1991 Case Number: 91-02336 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT; UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,200.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1101 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/17/1991 Case Number: 91-02184 Allegations: EXECUTIONS-FAILURE TO EXECUTE; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $43,939.00; OTHER MONETARY RELIEF, ASKED AMOUNT $20,936.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/21/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1102 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/22/1991 Case Number: 91-02163 Allegations: BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; SUITABILITY Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 743 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $685,359.00 Disposition: AWARD AGAINST PARTY Disposition Date: 10/19/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $285,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1103 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1991 Case Number: 91-01910 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; SUITABILITY; CHURNING Type of Securities: LIMITED PARTNERSHIPS; OPTIONS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/04/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $950.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1104 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/09/1991 Case Number: 91-01800 Allegations: MISREPRESENTATION; UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE; BRCH OF FIDUCIARY DT Type of Securities: COMMODITIES FUTURES; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1105 of 1184) Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 744 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/31/1991 Case Number: 91-01427 Allegations: MISREPRESENTATION; SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/26/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $6,250.00 BROKERAGE FIRM ARBITRATION (1106 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/25/1991 Case Number: 91-01298 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; MISREPRESENTATION; CHURNING Type of Securities: OPTIONS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,872.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1107 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/24/1991 Case Number: 91-01236 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $147,451.20 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1108 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 745 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/08/1991 Case Number: 91-01026 Allegations: CHURNING; SUITABILITY; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $280,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $20,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1109 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/1991 Case Number: 91-00853 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; BRCH OF FIDUCIARY DT; MISREPRESENTATION; CHURNING Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $358,259.02 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/06/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1110 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/17/1991 Case Number: 91-00738 Allegations: UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,879.00; INTEREST, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 02/07/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1111 of 1184) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 746 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/23/1991 Case Number: 91-00733 Allegations: UNAUTHORIZED TRADING; SUITABILITY; BRCH OF FIDUCIARY DT; MISREPRESENTATION Type of Securities: COMMON STOCK; MUTUAL FUNDS; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,512.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,995.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $400.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/16/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1112 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/1991 Case Number: 91-00679 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; SUITABILITY Type of Securities: ANNUITIES; CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $56,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/23/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1113 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/08/1991 Case Number: 91-00565 NASD BrokerCheck October 14, 2005 Page 747 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: SUITABILITY; UNAUTHORIZED TRADING; MISREPRESENTATION; CHURNING Type of Securities: COMMON STOCK; CORPORATE BONDS; WARRANTS/RIGHTS; LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $305,738.00 Disposition: AWARD AGAINST PARTY Disposition Date: 06/16/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $36,162.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1114 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/23/1991 Case Number: 91-00400 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK; OPTIONS; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/24/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,025.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $521.95 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1115 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/17/1991 Case Number: 91-00021 Allegations: SUITABILITY; UNAUTHORIZED TRADING; MISREPRESENTATION Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $146,719.75 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/14/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 748 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL, AWARD AMOUNT JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1116 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/22/1991 Case Number: 90-03592 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $106,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/04/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $18,789.00 BROKERAGE FIRM ARBITRATION (1117 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/21/1991 Case Number: 90-03550 Allegations: MISREPRESENTATION; SUITABILITY; BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK; REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,843.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/27/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $26,300.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1118 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/24/1990 Case Number: 90-03390 Allegations: SUITABILITY; MISREPRESENTATION; BRCH OF FIDUCIARY DT; OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $745,580.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/26/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $57,000.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 749 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1119 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/07/1990 Case Number: 90-03379 Allegations: MISREPRESENTATION; CHURNING; BRCH OF FIDUCIARY DT; UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $58,030.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1120 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/27/1990 Case Number: 90-03299 Allegations: UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,681.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/21/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $6,681.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1121 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/29/1991 Case Number: 90-03289 Allegations: EXECUTIONS-FAILURE TO EXECUTE; UNAUTHORIZED TRADING; CHURNING Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $16,000.00 NASD BrokerCheck October 14, 2005 Page 750 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1122 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/1991 Case Number: 90-02754 Allegations: UNAUTHORIZED TRADING Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,129.32 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 07/03/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1123 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1990 Case Number: 90-02637 Allegations: SUITABILITY; MISREPRESENTATION Type of Securities: PREFERRED STOCK; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/16/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1124 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/12/1990 Case Number: 90-02635 Allegations: SUITABILITY Type of Securities: COMMON STOCK; CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/12/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 751 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1125 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/15/1991 Case Number: 90-02594 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/11/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1126 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/17/1990 Case Number: 90-02550 Allegations: UNAUTHORIZED TRADING Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,754.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 08/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1127 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/1990 Case Number: 90-02300 Allegations: UNAUTHORIZED TRADING; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: OPTIONS; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 752 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,471.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 10/25/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1128 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/1990 Case Number: 90-02206 Allegations: OTHER; UNAUTHORIZED TRADING; ACCOUNT RELATED-OTHER; UNKNOWN TYPE OF CONTROVERSY Type of Securities: OPTIONS; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1129 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/19/1990 Case Number: 90-02150 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; TRADING DISPUTES-BUY IN Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,273.00 Disposition: AWARD AGAINST PARTY Disposition Date: 10/12/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $500.00 BROKERAGE FIRM ARBITRATION (1130 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/1990 NASD BrokerCheck October 14, 2005 Page 753 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 90-01877 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,864.43 Disposition: AWARD AGAINST PARTY Disposition Date: 08/14/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $20,105.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1131 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/1990 Case Number: 90-01871 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,400.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/19/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1132 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/1990 Case Number: 90-01812 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $43,500.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $17,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1133 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/20/1990 Case Number: 90-01390 Allegations: ACCOUNT RELATED-OTHER; MISREPRESENTATION NASD BrokerCheck October 14, 2005 Page 754 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,628.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/01/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,965.31 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1134 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/17/1990 Case Number: 90-01334 Allegations: ACCOUNT RELATED-NEGLIGENCE; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK; PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,241.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/14/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $42,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1135 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/11/1990 Case Number: 90-01289 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) BROKERAGE FIRM ARBITRATION (1136 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/18/1990 Case Number: 90-01220 Allegations: ACCOUNT RELATED-OTHER; SUITABILITY; MISREPRESENTATION; UNAUTHORIZED TRADING Type of Securities: COMMON STOCK; CORPORATE BONDS NASD BrokerCheck October 14, 2005 Page 755 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 07/15/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1137 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1990 Case Number: 90-00730 Allegations: MISREPRESENTATION Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 06/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1138 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/26/1990 Case Number: 90-00315 Allegations: Not Provided Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 11/10/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $16,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1139 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 NASD BrokerCheck October 14, 2005 Page 756 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 89-03285 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,768.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/23/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $500.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1140 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-03192 Allegations: EXECUTIONS-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/20/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,875.00 BROKERAGE FIRM ARBITRATION (1141 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/07/1989 Case Number: 89-03018 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $81,592.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1142 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1990 Case Number: 89-02912 NASD BrokerCheck October 14, 2005 Page 757 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: CHURNING; SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/20/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $92,556.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $39,776.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1143 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1989 Case Number: 89-02851 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $64,578.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 02/06/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1144 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/1989 Case Number: 89-02692 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $96,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/05/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1145 of 1184) NASD BrokerCheck October 14, 2005 Page 758 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/31/1989 Case Number: 89-02626 Allegations: MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,700,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/11/1991 Relief Awarded: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1146 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/1989 Case Number: 89-02575 Allegations: ACCOUNT RELATED-NEGLIGENCE; SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,060.04 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/06/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1147 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/03/1989 Case Number: 89-02441 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/04/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $42,349.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 759 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY BROKERAGE FIRM ARBITRATION (1148 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/29/1989 Case Number: 89-02382 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $851,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,553,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/24/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1149 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02104 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,150.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/04/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1150 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1989 Case Number: 89-01976 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,612.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/07/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $4,800.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 760 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1151 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/06/1989 Case Number: 89-01813 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $220,609.94 Disposition: AWARD AGAINST PARTY Disposition Date: 04/29/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $9,199.60 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1152 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01723 Allegations: SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,021,077.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/29/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $29,247.06 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1153 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01551 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $31,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $8,125.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 761 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1154 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01379 Allegations: CHURNING; SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,072,604.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $22,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,000.00 BROKERAGE FIRM ARBITRATION (1155 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01058 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/14/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1156 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01034 Allegations: EXECUTIONS-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,455.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/15/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,393.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 762 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1157 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/05/1989 Case Number: 89-00605 Allegations: Not Provided Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $138,038.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/07/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $75,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1158 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/16/1989 Case Number: 89-00399 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-MARGIN CALLS Type of Securities: OPTIONS; COMMON STOCK; COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,903,753.00 Disposition: AWARD AGAINST PARTY Disposition Date: 10/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $388,247.37 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1159 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00161 Allegations: SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,377.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1160 of 1184) NASD BrokerCheck October 14, 2005 Page 763 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03902 Allegations: MISREPRESENTATION; SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $78,344.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 02/15/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1161 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03748 Allegations: UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $480,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/01/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1162 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03719 Allegations: UNAUTHORIZED TRADING; SUITABILITY; CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,709.00 NASD BrokerCheck October 14, 2005 Page 764 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 03/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $30,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1163 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03667 Allegations: MISREPRESENTATION; OMISSION OF FACTS; SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,034.82 Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $6,750.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1164 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03580 Allegations: EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,700.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 08/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1165 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03369 Allegations: CHURNING; SUITABILITY; MISREPRESENTATION; OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 765 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $505,381.00; OTHER COSTS, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,072,604.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $15,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $22,500.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,000.00 BROKERAGE FIRM ARBITRATION (1166 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03360 Allegations: SUITABILITY; UNAUTHORIZED TRADING; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/20/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1167 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03271 Allegations: OMISSION OF FACTS; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $7,543.51 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1168 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 766 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/01/1988 Case Number: 88-03244 Allegations: OMISSION OF FACTS; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $6,960.20 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1169 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03207 Allegations: BRCH OF FIDUCIARY DT; OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,925.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/02/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1170 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1988 Case Number: 88-03202 Allegations: Not Provided Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/20/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $18,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $25,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,000.00 NASD BrokerCheck October 14, 2005 Page 767 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1171 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03028 Allegations: SUITABILITY; BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,000.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/15/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1172 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02968 Allegations: UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; SUITABILITY; CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/27/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1173 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02938 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,450.00 Disposition: CASE IS CLOSED, BY HEARING NASD BrokerCheck October 14, 2005 Page 768 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 09/08/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1174 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/22/1988 Case Number: 88-02695 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,750.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/28/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $53,634.24 BROKERAGE FIRM ARBITRATION (1175 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02673 Allegations: ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; OMISSION OF FACTS; CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/18/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $45,000.00 BROKERAGE FIRM ARBITRATION (1176 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02578 Allegations: ACCOUNT RELATED-MARGIN CALLS; UNAUTHORIZED TRADING; BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,355.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/12/1989 NASD BrokerCheck October 14, 2005 Page 769 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1177 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02567 Allegations: SUITABILITY; OMISSION OF FACTS; BRCH OF FIDUCIARY DT Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,901.78 Disposition: AWARD AGAINST PARTY Disposition Date: 10/24/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $8,300.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1178 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02278 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $148,885.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1179 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01999 Allegations: SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $77,810.00; OTHER COSTS, ASKED AMOUNT $1,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/25/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 770 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL), AWARD AMOUNT $27,610.44; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $500.00 BROKERAGE FIRM ARBITRATION (1180 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1988 Case Number: 88-01974 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/27/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1181 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00850 Allegations: SUITABILITY; OMISSION OF FACTS; MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $247,272.94 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/20/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1182 of 1184) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00236 Allegations: SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; OMISSION OF NASD BrokerCheck October 14, 2005 Page 771 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) FACTS Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $147,490.23 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $442,470.69 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 05/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1183 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00143 Allegations: MISREPRESENTATION; OMISSION OF FACTS; BRCH OF FIDUCIARY DT; SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,000.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $22,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1184 of 1184) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-00445 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS; COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $8,379.74 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,250.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 772 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: CITIGROUP GLOBAL MARKETS INC. CRD Number: 7059 BROKERAGE FIRM ARBITRATIONS(cont.) ************ END OF REPORT ************