| 09-03306 | 04/12/2011 | Claimant(s): Henry Ostberg
Claimant Lawyers(s): Herb Deutsch
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Walter C. Parrish, Kenneth J. Horowitz, Daniel A. Pinkus
Hearing Site: Newark, NJ
|  | $0 |
| 09-03297 | 04/11/2011 | Claimant(s): Gerald Hosier, Jerry Jr., Brush Creek Capital LLC, Gerald D. Hosier UAD 10/04/99
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Malcolm T. Cleland, Marc H. Schtul, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $54,106,000 |
| 10-02481 | 04/11/2011 | Claimant(s): Patricia Plesh
Claimant Lawyers(s): Patricia J. Plesh
Respondent(s): Citigroup Global Markets., Jay Oldham, Royal Alliance Associates., Lawrence Ruderman, Lloyd Graham, Philip King, Crowell, Weedon & Co., King Financial Services.
Respondent Lawyers(s): Barry M. Vrevich, Bernard B. Kornmehl, Elizabeth Lowery, Lloyd William Graham
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02965 | 04/05/2011 | Claimant(s): Florence E. Jordan Trust
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Gregory Alford, Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Lita S Menkin
Hearing Site: Birmingham, AL
| | $0 |
| 09-06657 | 04/04/2011 | Claimant(s): Leslie Katz
Claimant Lawyers(s): Alex Gardner
Respondent(s): Citigroup Global Markets., Marvin Lerman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Robert Manfredo, Romaine L. Gardner, Bernard Korman
Hearing Site: New York, NY
| | $0 |
| 09-04948 | 03/23/2011 | Claimant(s): Estate of Hobart S. Geer
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Citigroup Global Markets., Mary Selgrad, Warren Rivetz
Respondent Lawyers(s): John E. Lawlor, William A. Hohauser
Arbitrator(s): Robert S. Getman, Preston V. Pumphrey, Patricia A. DeWitt
Hearing Site: New York, NY
| | $0 |
| 10-03996 | 03/03/2011 | Claimant(s): Randall Medow, American States Auto Plan.
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Robinson
Arbitrator(s): Rody P. Biggert
Hearing Site: Chicago, IL
| | $0 |
| 09-05496 | 03/01/2011 | Claimant(s): IB Corp Investments and Business Group
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Norman L. Weiss, Robert A. Fabricant, Todd M. Saunders
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-03114 | 02/25/2011 | Claimant(s): Howard Coleman, Rhoda Coleman, The Coleman Family Trust U/T/A 1/18/1992
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeffrey E. Skogsbergh, Mary M. O'Neil, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | $230,667 |
| 10-02017 | 02/25/2011 | Claimant(s): Jadwiga Piskozub
Claimant Lawyers(s): Jill Gross
Respondent(s): Citigroup Global Markets., Martin Jankowski
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $213 |
