| 09-05604 | 03/16/2012 | Claimant(s): Lorraine Welch Shaw
Claimant Lawyers(s): Sidney W. Jackson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Dale A. Kaliszeski, Allen J. Krouse, Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
|  | $41,300 |
| 08-04100 | 03/14/2012 | Claimant(s): Scott Holt, Tracy Austin
Claimant Lawyers(s): Steven M. Goldberg
Respondent(s): Gary Fournier, Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron, William A. Hohauser
Arbitrator(s): Robert D. Sussin, Jon A. Bostrom, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03069 | 03/13/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Breen
Respondent(s): Robert Taddeo
Respondent Lawyers(s): Robert Eugene Taddeo
Arbitrator(s): Stanley H. Labinger
Hearing Site: Hartford, CT
| | $0 |
| 10-00637 | 03/09/2012 | Claimant(s): Bristol Investment Fund, Ltd.
Claimant Lawyers(s): Thomas J. Fleming
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Christine Costigan, Lowell D. Johnston, John Franklin Udochi
Hearing Site: New York, NY
| | $0 |
| 09-06817 | 03/06/2012 | Claimant(s): Carole Helman
Claimant Lawyers(s): Mindy Helman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Stan West, Paul W. Sterman, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | $0 |
| 10-05587 | 03/05/2012 | Claimant(s): Barry Rosenfeld
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William S. Glickfield, Don Muyskens, Oliver J. Janney
Hearing Site: Tampa, FL
| | $435,075 |
| 09-06457 | 02/22/2012 | Claimant(s): Robert Locher
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Holly J. Sutton
Arbitrator(s): Linda M. Granata, James W. Geiger, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02019 | 02/17/2012 | Claimant(s): Palmieri Family Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Ilisa J. Smukler, William R. Alheim, Will Murphy
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-03065 | 01/26/2012 | Claimant(s): Joseph Yurman, Murphy Family Trust
Claimant Lawyers(s): Lawrence A. Steckman
Respondent(s): Citigroup Global Markets., Reaz Islam, Citigroup Alternative Investments LLC, Citigroup Fixed Income Alternatives, Citigroup., Mat Five LLC Fund, Municipal Opportunity Fund Five LLC
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Craig Scott Bartlett, Sheldon M. Finkelstein, Kinchen C. Bizzell
Hearing Site: New York, NY
| | $950,000 |
| 11-01641 | 01/19/2012 | Claimant(s): Kristopher Mathis, U/W/O Harold J Mathis FBO
Claimant Lawyers(s): Harold J. Mathis
Respondent(s): Citigroup Global Markets., Joseph Calabrese
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): W. Merrill Glasgow
Hearing Site: Houston, TX
| | $0 |
