| 09-01362 | 07/14/2011 | Claimant(s): Margaret Davon, Stuart Bedrin, Dorothea Jacoby Revocable Trust, Margaret F. Davon Revocable Trust, Stuart Bedrin Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Donald R. McGahan, Ellen J. Abrams, Sidney J. Wartel
Hearing Site: Boca Raton, FL
|  | Stipulated Award |
| 09-06493 | 07/13/2011 | Claimant(s): Richard Orkin, DOCSI LLC, f/k/a DOCSI Corp., The DOCSI Corp. PSP dtd 09/01/91, The DOCSI Corp. Profit Sharing Plan
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Steven Gourley, Gerald C. Tambe, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03980 | 07/12/2011 | Claimant(s): Alan Kovner, Alan Kovner Scholars Choice FBO J Kovner, Alan M. Kovner ACF Joshua A. Kovner U/NY, Alan Kover CGM IRA Custodian, Joshua A. Kovner TTEE FBO Alan Kovner
Claimant Lawyers(s): Vincent W. Ansanelli
Respondent(s): Citigroup Global Markets., Smith Barney.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Barry Feiden, Jerome H. Levy, Keely D. Parr
Hearing Site: New York, NY
| | Expungement |
| 09-06859 | 06/16/2011 | Claimant(s): Dr. Donald Steinberg Revocable Trust
Claimant Lawyers(s): Donald Steinberg
Respondent(s): Citigroup Global Markets., Morgan Stanley, Thomas Konopka
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Stan West
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-04799 | 06/13/2011 | Claimant(s): Daniel Forer, Loretta Forer
Claimant Lawyers(s): Robert E. Stone
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): David M. Levine
Hearing Site: Miami, FL
| | $0 |
| 09-07044 | 06/09/2011 | Claimant(s): Lois Grumet
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Gary Schwarcz, Citigroup Global Markets.
Respondent Lawyers(s): Wayne H. Wink, William A. Hohauser
Arbitrator(s): Diane Getzler, Richard Weinberger, Stewart E. Winner
Hearing Site: New York, NY
| | Expungement |
| 09-02155 | 05/26/2011 | Claimant(s): Cleveland Currie, Maria Currie
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Thomas E. Duggan, Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 10-03733 | 05/20/2011 | Claimant(s): Joan Grootemaat
Claimant Lawyers(s): Joan R. Grootemaat
Respondent(s): Corinne Moccia-Cunha, Citigroup Global Markets., Morgan Stanley, Owen Dugan
Respondent Lawyers(s): Harper Robinson
Arbitrator(s): James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $325 |
| 09-04114 | 04/20/2011 | Claimant(s): Search Ministries.
Claimant Lawyers(s): Gary R. Long
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Herbert B. Williams
Hearing Site: Baltimore, MD
| | $0 |
| 09-06980 | 04/14/2011 | Claimant(s): Keith Stock
Claimant Lawyers(s): Theodore L. Hecht
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joseph B. Russell, Salvatore J. Bate, Anna Lascar
Hearing Site: New York, NY
| | $0 |
