| 10-00989 | 03/30/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Mark Fowler
Respondent Lawyers(s): Mark W. Fowler
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
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| 09-03947 | 03/28/2011 | Claimant(s): Joel Lagore
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): David Vallie, Citigroup Global Markets., Morgan Stanley, Morgan Stanley & Co., Terrence Andrysiak
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Harvey Frank, Mark Wietchy, William P. Thorpe
Hearing Site: Detroit, MI
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| 10-03734 | 01/28/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Michael Bell
Respondent Lawyers(s): Michael S. Bell
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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| 09-06381 | 01/19/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Cari A. Lewis
Respondent(s): Michael Chmielewski
Respondent Lawyers(s): Michael D. Chmielewski
Arbitrator(s): C. Sidney Lester
Hearing Site: Philadelphia, PA
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| 10-03784 | 01/19/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Eleonora Grinshteyn
Respondent(s): Michael Mildon
Respondent Lawyers(s): Michael Joseph Mildon
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 09-07021 | 01/13/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): Guido Alvarez
Respondent Lawyers(s): Guido J. Alvarez
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
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| 03-02421 | 01/04/2011 | Claimant(s): Oppenheimer & Co.
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): George M. Garvey
Arbitrator(s): Ronald L. Cameron, Mark S. Priver, Ronald E. Ogden
Hearing Site: Los Angeles, CA
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| 10-02615 | 12/07/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph D. MacLellan
Respondent(s): Daniel Miller
Respondent Lawyers(s): Daniel Francis Miller
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
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| 09-05407 | 12/06/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Joshua Cuff
Respondent Lawyers(s): Joshua Cuff
Arbitrator(s): David Paul Clark
Hearing Site: Richmond, VA
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| 10-02242 | 11/19/2010 | Claimant(s): Matthew Mielewski
Claimant Lawyers(s): Matthew J. Mielewski
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Louis G. Santangelo
Arbitrator(s): Steven J. Feldman
Hearing Site: Los Angeles, CA
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