| 09-03280 | 03/29/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Treanor
Respondent Lawyers(s): John Vincent Treanor
Arbitrator(s): Michael P. Golden, Paul K. Barenholtz, Sam P. Terner
Hearing Site: New York, NY
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| 09-04741 | 01/14/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kirk Westermann
Respondent Lawyers(s): Kirk Westermann
Arbitrator(s): Sidney L. Sussman
Hearing Site: Charlotte, NC
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| 07-02501 | 07/13/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Jeffrey Farrell
Respondent Lawyers(s): Jeffrey T. Farrell
Arbitrator(s): Richard A. Purkiss, Michael Allen Zeiler, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
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| 08-02086 | 07/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Peter Dolan
Respondent Lawyers(s): Robert A. Boncore
Arbitrator(s): Dallas Whitney Coffman, Stephen Z. Frank, John Joseph Cotter
Hearing Site: Boston, MA
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| 08-00344 | 04/16/2009 | Claimant(s): Joseph Delaura
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s):
Hearing Site: Newark, NJ
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| 08-00918 | 02/12/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Clifford Bartlett, III
Respondent Lawyers(s): Joan M. Markey
Arbitrator(s): Douglas F. Stone, Cheryl Feldman, Bruce Alan Whiteford
Hearing Site: New York, NY
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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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