| 09-05568 | 02/22/2011 | Claimant(s): Nicole Secrest, William F. Runge IRA, Trust Created fbo Nicole A. Secrest, William F. Runge Revocable Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): William H. Malloy, Merle D. Rockwell, Douglas Earl McLaren
Hearing Site: Washington, DC
|  | $124,156 |
| 08-04482 | 02/08/2011 | Claimant(s): Elizabeth Schaper, Estate of Armin Schaper, Estate of Ethel Schaper, IRA, Douglas Schaper Trust, Ethel Schaper Charitable Trust
Claimant Lawyers(s): Jill C. Owens
Respondent(s): Anthony D'Aquila, Citigroup Global Markets., Paul Olivo
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Richard S. Peskin, James S. Hazard, Joshua Mark Zucker
Hearing Site: New York, NY
| | Expungement |
| 09-01292 | 02/08/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Borders Consulting Services
Respondent Lawyers(s): Holiday Hunt Russell
Arbitrator(s): Ronald W. Devoe, Robert C. Werner, Mitchel Weiss
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 08-04466 | 02/07/2011 | Claimant(s): D. Berghorst, Berghorst Snowbird LLC, Berghorst 98 Dynastic Tr/D Berghorst TTE
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments LLC
Respondent Lawyers(s): Alex J. Sabo, Richard C. Szuch
Arbitrator(s): Guy K. Stewart, Monroe Mitchel, Mark Sidell, Eugene Michael Kennedy, John B. Sochacki, Alfred L. Simon
Hearing Site: Boca Raton, FL
| | $2,000,000 |
| 09-05976 | 01/25/2011 | Claimant(s): Teresa Garcia-Fernandez
Claimant Lawyers(s): Yuri J. Valenzuela
Respondent(s): Citigroup Global Markets., Raquel Gonzalez Font
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Steven N. Ainbinder
Hearing Site: San Juan, PR
| | $0 |
| 10-00490 | 01/25/2011 | Claimant(s): Vahik Minaiyan
Claimant Lawyers(s): Vahik Minaiyan
Respondent(s): Citigroup Global Markets., Lena Thomas, Michael Mildon, Richard Mckusick
Respondent Lawyers(s): Christina Z. Foster
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05393 | 01/18/2011 | Claimant(s): Paul Chaplin and Karen Chaplin, Wayne Chaplin and Arlene Chaplin
Claimant Lawyers(s): Scott M. Dimond
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): David M. Levine, Kevin A. Llinas, Bart Samuel Cohodas
Hearing Site: Miami, FL
| | Expungement |
| 09-02975 | 01/13/2011 | Claimant(s): Bernard Sussman, IRA, Bernard Sussman Revocable Trust
Claimant Lawyers(s): Michael Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Peter J. Lavezzoli, James W. Geiger, Mark I. Roth
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-06164 | 12/23/2010 | Claimant(s): The Trust FBO Dorothy S. Hellyer
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy Bass
Arbitrator(s): Jane C. Carney, Peter J. Pokorny, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $300 |
| 08-04276 | 12/16/2010 | Claimant(s): James Murphy
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): William F. Glaser, David M. Snyder, Gayle B. Carlson
Hearing Site: Tampa, FL
| | $1,042,990 |
