| 05-06051 | 01/16/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean M. Daly
Arbitrator(s): Linda S. Cole, Joshua Mark Zucker, Renee La Verne Ross CFP
Hearing Site: New York, NY
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| 08-00442 | 12/30/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Daine C. Fischer
Respondent(s): Hal Klinger
Respondent Lawyers(s): Thomas C. DeVoto
Arbitrator(s): William Stark Port
Hearing Site: St. Louis, MO
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| 08-01406 | 12/30/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Steven Martini
Respondent Lawyers(s): Steven Martini
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Newark, NJ
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| 08-00291 | 12/05/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Dewey Steffen
Respondent Lawyers(s): Gregory J. Boulahanis
Arbitrator(s): Robert A. Vogler, Stephen D. Arkwright, Conrad W. Koski
Hearing Site: Detroit, MI
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| 08-01040 | 11/12/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Gregory R. Crochet
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Francisco A. Diaz
Arbitrator(s): G. Robert Abrams
Hearing Site: Miami, FL
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| 08-01472 | 10/29/2008 | Claimant(s): Citigroup Global Markets., Citigroup Golbal Markets Holdings.
Claimant Lawyers(s): Jennifer Blunt
Respondent(s): Carlos Shibata
Respondent Lawyers(s): Carlos A. Shibata
Arbitrator(s): Daniel H. Yaffe, Laura Jeanette Cognetti, Doug Campbell
Hearing Site: Miami, FL
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| 07-02449 | 09/22/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Smithson
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward T. Borer, Stephen T. Mayhew, Jack H. McNairy
Hearing Site: Philadelphia, PA
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| 07-02565 | 09/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Kret
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Carmen P. Michelotti, Gary D. Krueger, James A. Murphy
Hearing Site: Chicago, IL
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| 07-03131 | 09/08/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Louis Gaudio
Respondent Lawyers(s): Louis M. Gaudio
Arbitrator(s): Lawrence M. Pitler, Mark Sidell, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
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| 08-00456 | 08/14/2008 | Claimant(s): CCO Investment Services Corp
Claimant Lawyers(s): David M. Belcher
Respondent(s): Citigroup Global Markets., Peter Coley
Respondent Lawyers(s): David A. Stein
Arbitrator(s): Richard J. Grahn, Joseph F. Meldon, Andrea J. Goldman
Hearing Site: Boston, MA
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