| 09-03614 | 08/02/2010 | Claimant(s): Curtis Pilot
Claimant Lawyers(s): Dawn Stith Evans
Respondent(s): Citigroup Global Markets., Webb Radcliff, Morgan Stanley Smith Barney (CRD#149777), Salomon Smith Barney (CRD # 7059)
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Kendall P. Hill, Steven P. Gregory, Marshal H. Emerson
Hearing Site: Birmingham, AL
|  | Stipulated Award and Expungement |
| 09-04585 | 07/30/2010 | Claimant(s): Benjamin Mathis, Harold Mathis
Claimant Lawyers(s): Benjamin Mathis, Harold Mathis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Donald K. Eckhardt, Arno C. Schwethelm, William A. Wilson
Hearing Site: Houston, TX
| | $25,000 |
| 09-04209 | 07/27/2010 | Claimant(s): The Estate of Philip Greenbaum
Claimant Lawyers(s): Adam Doner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Ronald H. Walton, Barth Satuloff, Louis Moroff
Hearing Site: Boca Raton, FL
| | $190,000 |
| 09-02765 | 07/22/2010 | Claimant(s): Abraham Koch, Cecelia Koch, Trust U/A/D 12/27/90, Cecelia A. Koch Trust U/A/D 12/27/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Arthur Weissman, Douglas Kobak, Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Bernard Herman, Peter D. Shelp, Eugene M. Schloss
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-06140 | 07/14/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Janice Koch
Respondent Lawyers(s): Janice C. Koch
Arbitrator(s): Robert Charkovsky
Hearing Site: Baltimore, MD
| | $0 |
| 09-01477 | 06/29/2010 | Claimant(s): Intevac.
Claimant Lawyers(s): Robert L. Schnell
Respondent(s): Citigroup Global Markets., Citigroup Inc.
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Gail Killefer
Hearing Site: San Francisco, CA
| | Auction Rate Securities related |
| 08-03173 | 06/24/2010 | Claimant(s): Donald E. Miller and Maxine L. Miller
Claimant Lawyers(s): John A. Bender
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Higendorff
Arbitrator(s): William J. Bender, Melvyn Jay Simburg, Fredrick John Bahr
Hearing Site: Seattle, WA
| | $479,880 |
| 08-04312 | 06/10/2010 | Claimant(s): Esberaldo Martinez and Olga M. Martinez
Claimant Lawyers(s): Marie E. Lopez Adames
Respondent(s): Alberto Perez, Citigroup Global Markets.
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Stan West, Robert H. Hagan, Nancy J. Cliff
Hearing Site: San Juan, PR
| | $212,875 |
| 09-02518 | 05/28/2010 | Claimant(s): Elizabeth Austin, Elizabeth O. Austin Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): John D. Perry
Arbitrator(s): Murray S. Levin, Joseph M. Rebein, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | $0 |
| 08-04291 | 05/26/2010 | Claimant(s): The Selan Family Trust dd 8/25/95
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Alan Stamm, Alan M. Rosen, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $550,880 |
