| 11-01421 | 06/15/2012 | Claimant(s): Granada Enterprises., Estate of Justyn C. Rosen, Rosen Family Associates, Ltd., Rosen Investments, LLLP, Justyn C. Rosen 1988 Irrevocable Ins Tst, Justyn C. Rosen Marital Trust No. 1, Justyn C. Rosen Trust for Marian Rosen, Marsha Zimmerman Irrevocable Trust, Rosen Investment Trust No. 1, Rosen Investment Trust No. 2, Sharon Irrevocable Trust 3/1/85, Sharon J. Mandel Irrevocable Trust, Sharon Rosen Trust by Marian Rosen Trust
Claimant Lawyers(s): Michael H. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Samuel L. McClaren, Baldwin Ranson, Andrew Barton
Hearing Site: Denver, CO
|  | $0 |
| 10-03335 | 05/31/2012 | Claimant(s): Lionel Winograd
Claimant Lawyers(s): Lionel Winograd
Respondent(s): David Powers, Citigroup Global Markets., Lisa Brandes
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sheldon M. Finkelstein, Donald C. Geiszler, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 10-02777 | 05/23/2012 | Claimant(s): Marilyn Szymkiw-Schrieber, Michael Schreiber, The Schrieiber Living Trust DTD 12/1/06
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Timothy J. Currier, Jacqueline R. Fox, Gregory M. Gendron
Hearing Site: Detroit, MI
| | $237,597 |
| 10-05305 | 05/09/2012 | Claimant(s): Blossom Durmazer
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Citigroup Global Markets., Stuart Blewett
Respondent Lawyers(s): Harper Robinson
Arbitrator(s): Clarence Smith
Hearing Site: New York, NY
| | $36,945 |
| 11-00604 | 04/11/2012 | Claimant(s): Peter Vranas
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | Expungement |
| 11-00793 | 04/05/2012 | Claimant(s): Elizabeth Dawson
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): Jeffrey R. Roth
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 10-02971 | 03/30/2012 | Claimant(s): John Murphy
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Camille Besold, David M. Levine, Jon Stanley Spisiak
Hearing Site: Boca Raton, FL
| | $250,000 |
| 11-01235 | 03/30/2012 | Claimant(s): David Bloom, Trust, Sara Bloom
Claimant Lawyers(s): Joseph R Sahid
Respondent(s): Arthur Thompson, Citigroup Global Markets.
Respondent Lawyers(s): Compliance Director
Arbitrator(s): Andrew J. Gerber
Hearing Site: New York, NY
| | $0 |
| 09-04124 | 03/29/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Cari A. Lewis
Respondent(s): Laura Bougdanos, Peter Bougdanos
Respondent Lawyers(s): Laura l. Bougdanos, Peter F. Bougdanos
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $0 |
| 10-04202 | 03/21/2012 | Claimant(s): Karen Papasergiou, Serge Papasergiou
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Alfred H. Kingon, Daniel A. Dolan, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
