| 09-05134 | 12/16/2010 | Claimant(s): Concetta Bannan, Gerard Bannan
Claimant Lawyers(s): John F. McKenna
Respondent(s): Arthur Jones, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Karl Marquardt
Arbitrator(s): Guillermo L. Bosch, Gordon E. Wright, Elliot B. Platt
Hearing Site: Philadelphia, PA
|  | $0 |
| 08-03623 | 12/15/2010 | Claimant(s): Charlie Johnson
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick King
Arbitrator(s): Monette E. Draper, Raymond M. Kirtley, John Andrew Wagner
Hearing Site: Indianapolis, IN
| | $0 |
| 09-01338 | 12/13/2010 | Claimant(s): Karin Paridee-Beard, Ronald Beard, Beard Living Trust dtd 3/30/1999
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Richard J. Stall, David W. Dresnick, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $336,270 |
| 10-02889 | 12/09/2010 | Claimant(s): Juliet Baruch
Claimant Lawyers(s): Anne Ho
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | $0 |
| 09-01976 | 12/03/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Anthony Marchese, Carolyn A. Mann, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $2,428,030 |
| 09-01102 | 12/02/2010 | Claimant(s): Linden Pasadena Properties
Claimant Lawyers(s): Jared R.B. Hutton
Respondent(s): Citigroup Global Markets., Susan Mamer
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Robert J. Ruben, Anna Marie Turco, Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01756 | 12/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Bryan Sampson, Connie Heinen, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Stephen M. Bales
Arbitrator(s): Rolf V. Aronsen, Verne R. Gray, Thomas J. Duff
Hearing Site: Des Moines, IA
| | $2,428,030 |
| 09-01796 | 12/01/2010 | Claimant(s): Allen Graber, Bertram Barnett, Robert Yarbrough, Robert L. Cockroft and Kathy C. Cockroft, Bittjal Partners
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Thomas L. Maschmeyer, P. Drake Mann, Yvonia A. Foster
Hearing Site: Memphis, TN
| | $2,428,030 |
| 09-03077 | 11/29/2010 | Claimant(s): Patricia Chapman, Patricia Tynan Chapman Trust UAD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Peter H. Daly, Jonathan Holman Hathaway, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | $1,500,000 |
| 09-05070 | 11/18/2010 | Claimant(s): Joanne Bohnke
Claimant Lawyers(s): David Valicenti
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Robert S. McConnell, Thomas A. Peterson, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | $136,112 |
