| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
|  | Expungement |
| 10-04224 | 12/22/2011 | Claimant(s): George Reech, Joann Reech
Claimant Lawyers(s): James F. Willeford, Jessica M. Vasquez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Ron C. Christner, Donald K. Eckhardt, John J. Meyer
Hearing Site: New Orleans, LA
| | $12,500 |
| 10-05548 | 12/19/2011 | Claimant(s): Jack Immel, Valerie Immel, Jack F. Immel, IRA, Valerie R. Immel
Claimant Lawyers(s): David Harrison
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03405 | 12/02/2011 | Claimant(s): Karen Roberts
Claimant Lawyers(s): Tiffany J. Brown
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Bernard A. Taub
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02080 | 11/21/2011 | Claimant(s): Bernard Rothschild, The Bernard W. Rothschild Foundation Inc, Bernard Rothschild Rev Living Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Manuel Schultz, Ronald W. Lasday, Kenneth R. Starr
Hearing Site: Tampa, FL
| | Expungement |
| 09-05539 | 11/18/2011 | Claimant(s): Cindy Bridges-Ross
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Alison Konop, David Tuebner, Citigroup Global Markets., Iwona Legge
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Nicholas J. Caputo, James N. D'Orso, Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 10-00860 | 11/17/2011 | Claimant(s): Christopher Puglisi
Claimant Lawyers(s): Phil Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Edith M. Novack, Margaret Leggett Tarver, Neal D. Baker
Hearing Site: Newark, NJ
| | $707,134 |
| 10-01452 | 11/15/2011 | Claimant(s): Erica Michaliga
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Citigroup Global Markets., Mary Mcevoy-Dockeray
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Jim Geiger, Elizabeth A. McKinney, Fred W. Miller
Hearing Site: Philadelphia, PA
| | $0 |
| 10-01534 | 11/07/2011 | Claimant(s): Connie Janousek
Claimant Lawyers(s): Richard L. Bolton
Respondent(s): Christopher Ayer, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): P. J. Boylan, Roy Clyde George, Gary L. Grolle
Hearing Site: Milwaukee, WI
| | $36,775 |
| 09-06200 | 11/04/2011 | Claimant(s): Michael Padilla, PTC Acquisitions
Claimant Lawyers(s): David Darnell
Respondent(s): Citigroup Global Markets., Morgan Stanley, Nat Di Carlo, Robert Martensen, Smith Barney, Smith Barney Consulting Group, The Catalina Group
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Dorothy B. Strackbein, David W. Dresnick, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
