| 09-07096 | 09/23/2010 | Claimant(s): Georgette Siedlecki, James Siedlecki, James & Georgette Siedlecki
Claimant Lawyers(s): Sam Tenenbaum
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Michael I. White
Hearing Site: Chicago, IL
|  | $213 |
| 08-02926 | 09/15/2010 | Claimant(s): Ward Waldman Real Estate Services, Aaron E. Waldman and Patricia Waldman
Claimant Lawyers(s): Aaron Everett Waldman, Patricia Ward
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Arnold Levine
Hearing Site: Boca Raton, FL
| | $300 |
| 09-04066 | 09/07/2010 | Claimant(s): The Estate of John F. Mann
Claimant Lawyers(s): Charles D. Koehler
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jerry D. Mc Cormack, Kevin J. Demet, Scott T. Silker
Hearing Site: Milwaukee, WI
| | $0 |
| 09-04498 | 08/26/2010 | Claimant(s): James Knell, Patricia Knell, The James W. Knell Trust, The Pat Knell Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Wilbert H. Luck, Jacalyn R. Murray, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 08-02649 | 08/25/2010 | Claimant(s): Rosenow I Limited Partnership
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Elizabeth Gilbert, Michael Jaffe, Linda B. Meltzer
Hearing Site: New York, NY
| | $0 |
| 08-03629 | 08/23/2010 | Claimant(s): Bleifer Family Trust dtd 3/25/1999, Pompan Family Trust u/a/d 4/4/98, The Nickie Lee Silk 2004 Trust, The Nickie Lee Silk Declaration Trust
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth L. Lindh
Arbitrator(s): Larry Edmonson, Morris S. Getzels, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $2,024,000 |
| 08-01412 | 08/18/2010 | Claimant(s): Gerard Chang
Claimant Lawyers(s): Gerard Chang
Respondent(s): Deborah Tharp, Citigroup Global Markets., Paul Katerndahl, Citigroup Smith Barney.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
| 09-02201 | 08/13/2010 | Claimant(s): Scott A. Kurstin/CUS Gary Kurstin, Bette Kurstin Declaration of Trust, Gary A. Kurstin Trust, Ryan G. Kurstin Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): James W. Geiger, Kalman J. Lester, Thomas W. Miller
Hearing Site: Boca Raton, FL
| | $75,000 |
| 09-00294 | 08/06/2010 | Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 09-02697 | 08/03/2010 | Claimant(s): Amzak Capital Management, Gerald J. Kazma Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Donald R. McGahan, Myron E. Levenson, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $1,817,300 |
