| 05-05902 | 02/08/2008 | Claimant(s): Larry Parker
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Citigroup Global Markets., A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning, William A. Hohauser
Arbitrator(s): Dennis Dowd, Gerhard L. Schopen, Suanne M. Parro
Hearing Site: Denver, CO
|  | $0 |
| 04-06421 | 01/29/2008 | Claimant(s): Steven Dobel
Claimant Lawyers(s): Edward Zusman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jennifer Tomsen
Arbitrator(s): Mark A. Myers, James Francis Donovan, Robert A. Wojcik
Hearing Site: New Orleans, LA
| | $288,000 |
| 06-00393 | 12/17/2007 | Claimant(s): Recipco Corp.
Claimant Lawyers(s): Eric F. Yuhl
Respondent(s): Citigroup Global Markets., Rebecca Rothstein
Respondent Lawyers(s): Craig Varnen, George M. Garvey
Arbitrator(s): Mario H. Metzger, Karen A. Lockwood, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 06-03212 | 12/13/2007 | Claimant(s): Lucille Small
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Citigroup Global Markets., Richard Olsen, Sara Farner, William Blick
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Douglas W. Oldfield, Allan Brotsky, David C. Tateosian
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 07-00219 | 12/12/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joan Toro
Respondent(s): Pamela Williams
Respondent Lawyers(s): Pamela Williams
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 04-00499 | 12/11/2007 | Claimant(s): Gene and Lynn Gautreaux
Claimant Lawyers(s): Robert V. McAnelly
Respondent(s): Elizabeth Hough, Frances Schwehr, Citigroup Global Markets., Nancy Mangham, Rickey Major
Respondent Lawyers(s): Richard F. Zimmerman, Thomas A. Roberts, Travis B. Wilkinson
Arbitrator(s): William Paul Bryan, Diane B. Elkins
Hearing Site: New Orleans, LA
| | Expungement |
| 06-02294 | 12/07/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Peter K. and Amy M. Barrett
Respondent Lawyers(s): Peter K. Barrett
Arbitrator(s): Marshall Passman, David L. Ruderman, Kermit C. Zieg
Hearing Site: Washington, DC
| | $0 |
| 06-02323 | 12/04/2007 | Claimant(s): Milton and Blanche Wasserburger
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kent B. Frazer
Arbitrator(s): David W. Newman, Syma S. Kasdin, Eugene J. Koalkin
Hearing Site: Boca Raton, FL
| | $97,424 |
| 06-04633 | 11/26/2007 | Claimant(s): Robert and Saundra Koenigsberg
Claimant Lawyers(s): Robert and Saundra Koenigsberg
Respondent(s): Debra Mamber, Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Thomas E. Mehrtens
Hearing Site: New York, NY
| | $0 |
| 05-03923 | 11/21/2007 | Claimant(s): Ronald and Donna Lapera
Claimant Lawyers(s): Charles C. Hunter
Respondent(s): Citigroup Global Markets., Keith Silver, Thomas Locastro
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Dennis C. Meyerson, Selma Moy, John J. Duval
Hearing Site: New York, NY
| | $0 |
