| 10-04272 | 11/04/2011 | Claimant(s): Michele Perillo
Claimant Lawyers(s): Lawrence J. Felder
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Lanny M. Leff, Amy L. Wachs, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
|  | $0 |
| 10-02950 | 11/01/2011 | Claimant(s): Richard Guido
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Dora M. Lassinger, Ernesto V. Luzzatto, David Jeremy Mattana
Hearing Site: New York, NY
| | Expungement |
| 11-00045 | 10/25/2011 | Claimant(s): Michael Mohan
Claimant Lawyers(s): Joseph P. Webber
Respondent(s): Citigroup Global Markets., Morgan Stanley, Robert Marwill, Steven Mechlowicz
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): James E. Schlottmann, Jerry C. Prestridge, Bertrand C. Moser
Hearing Site: Houston, TX
| | $674,755 |
| 10-03334 | 10/12/2011 | Claimant(s): Alphonse Lucchese
Claimant Lawyers(s): Robert F. Dionisi
Respondent(s): Alfred Weaver, Citigroup Global Markets., Robert Malenfant, Citi Smith Barney
Respondent Lawyers(s): Compliance Officer, T. Peter R. Pound
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $0 |
| 10-05322 | 10/10/2011 | Claimant(s): Jayakumar Muthukamatchi, Jayakumar Muthukamatchi IRA
Claimant Lawyers(s): Jayakumar Muthukamatchi
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Ira G. Rosenstein
Arbitrator(s): Jim Geiger
Hearing Site: Wilmington, DE
| | $0 |
| 10-00278 | 09/14/2011 | Claimant(s): Mary Wynns, Richard Wynns
Claimant Lawyers(s): Philip Matthews
Respondent(s): Citigroup Global Markets., John Gellasch, Morgan Stanley
Respondent Lawyers(s): Thomas R. Cox
Arbitrator(s): Patrick R. Sughroue, Bruce F. Coleman, Terrance J. Dorcy
Hearing Site: Detroit, MI
| | $172,445 |
| 10-01847 | 08/26/2011 | Claimant(s): George Putnam
Claimant Lawyers(s): Justin T. Berger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Frank R Weaver, Michael J. Fish, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $127,944 |
| 09-00565 | 08/25/2011 | Claimant(s): Jozsef Tasko
Claimant Lawyers(s): Ira Scot Meyerowitz
Respondent(s): Citigroup Global Markets., Robert Buonanno
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Frank Irizarry, Joan M. Traub, Jacob Scherer
Hearing Site: New York, NY
| | $0 |
| 10-03684 | 08/02/2011 | Claimant(s): Jeanette Kridel, Jeanette Loree Kridel Trust
Claimant Lawyers(s): William J. Kridel
Respondent(s): Citigroup Global Markets., Stephen Endlar, William Dodge
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
| 09-01331 | 08/01/2011 | Claimant(s): Carl Meisner
Claimant Lawyers(s): Eric L. Rhodes
Respondent(s): David Endres, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): James G. Cooper, Philip I. McConnell, Charles E. Munson
Hearing Site: Houston, TX
| | $375 |
