| 17-01297 | 07/23/2018 | Claimant(s): Christopher Eriksson
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Citigroup Global Markets., Paul Ulanich
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
|  | $30,000 |
| 16-00815 | 05/02/2018 | Claimant(s): Nicholas Monaghan
Claimant Lawyers(s): Andrew J. Levin
Respondent(s): Morgan Stanley, Citigroup Global Markets., John Graff
Respondent Lawyers(s): Jeremy S. Winer, John Robert Graff
Arbitrator(s): Gordon M. Wase, William W. Lowe, Paul Albert Bechtel
Hearing Site: Philadelphia, PA
| | $0 |
| 16-02933 | 03/29/2018 | Claimant(s): Nicolette Billings, Estate of Rosemary Seheult
Claimant Lawyers(s): Gregory A. Friedman
Respondent(s): David Gray, Morgan Stanley, Citigroup Global Markets., Gregg Stupinski
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Steven Gerard Goerke, Elena G. Rodriguez, Barry David Thorpe
Hearing Site: Miami, FL
| | $0 |
| 16-01853 | 03/13/2018 | Claimant(s): Jennifer Marun, representing the estate
Claimant Lawyers(s): Rachel Vrana
Respondent(s): David Dodd, David Reicks, Elizabeth Zuniga, Citigroup Global Markets., Juan Cabanas, UBS Financial Services Inc.
Respondent Lawyers(s): Terry Ross
Arbitrator(s): Michael E. Rohde, Shawn Michael Spaulding, Charles H. Dick
Hearing Site: San Diego, CA
| | Expungement |
| 16-02710 | 01/19/2018 | Claimant(s): Marcus Nagel, Matthew Nagel
Claimant Lawyers(s): Marcus Nagel
Respondent(s): David Warren, Citigroup Global Markets., UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam M. Kauff, Andrew W. Sidman, Denver G. Edwards
Arbitrator(s): Steven Gourley, Howard A. Emirhanian, George Herman Frisch
Hearing Site: Los Angeles, CA
| | Dismissed by Rule (12200/12201) |
| 16-00079 | 08/10/2017 | Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 15-03239 | 05/15/2017 | Claimant(s): Marjorie R. Brown Trust U/A/D 11/25/1997
Claimant Lawyers(s): Ralph J. Sirlin
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): Robert J. Scafuri, A. Robert Stevenson, Melissa B. VanDam
Hearing Site: Detroit, MI
| | $150,000 |
| 15-00010 | 05/03/2017 | Claimant(s): Steven Griff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert T. Allen, John A. Baynes, Brock B. Gordon
Hearing Site: Charlotte, NC
| | $0 |
| 16-01301 | 12/27/2016 | Claimant(s): James Stewart, James C. Stewart IRA, F. Stewart Rev Liv Trust U/A/D/ 01/23/91, James C. Stewart Trust U/A/D/ 09/22/86
Claimant Lawyers(s): D. Daxton White
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Muriel Desloovere, Jacquelyn M. Shannon, Joseph John Mantione
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 16-00017 | 12/13/2016 | Claimant(s): Julienne Ambrose
Claimant Lawyers(s): Alaba S. Ajetunmobi
Respondent(s): Citigroup Global Markets., Citibank NA
Respondent Lawyers(s): Eric R. Feld
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Allen Edward Wisniewski
Hearing Site: Los Angeles, CA
| | $0 |
