| 15-02356 | 09/27/2016 | Claimant(s): Lance Lipkus
Claimant Lawyers(s): Joshua Kons
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Susan C. Lushing, Mary P. Bass, Mitchell Regenbogen
Hearing Site: New York, NY
|  | $0 |
| 14-02429 | 09/19/2016 | Claimant(s): William Langfan
Claimant Lawyers(s): William K. Langfan
Respondent(s): Citigroup Global Markets., Morgan Stanley, Scott Sade
Respondent Lawyers(s): George D. Sullivan, Peter B. King
Arbitrator(s): Allen Kilik, Lisa Marie Macci, Steven G. Montesi
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02531 | 09/12/2016 | Claimant(s): Gary LaRue, Mid-Con MFG.
Claimant Lawyers(s): Gary LaRue
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Stephen G. Sneeringer, Elton W. Chartrand, Robert J. Gregory
Hearing Site: Little Rock, AR
| | $0 |
| 15-00624 | 07/22/2016 | Claimant(s): Laura Bell
Claimant Lawyers(s): David Lefkowitz
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Arthur T. Berggren, Lawrence Yaeger, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $625,000 |
| 14-01760 | 03/23/2016 | Claimant(s): Christus Health
Claimant Lawyers(s): Jason W. Burge
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew J. Ehrlich
Arbitrator(s):
Hearing Site: Dallas, TX
| | $0 |
| 15-01163 | 01/07/2016 | Claimant(s): Jerry S. Needleman
Claimant Lawyers(s): Jerry S. Needleman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Heather K. Murphy
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | $38 |
| 14-00199 | 01/06/2016 | Claimant(s): Kenneth Lee
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets., Hsyu-Chieng Chiou
Respondent Lawyers(s): Brian J. Ellis, Steven D. Toskes
Arbitrator(s): Perry Lee Taylor, Barbara Black, Helen E. Huyler
Hearing Site: Atlanta, GA
| | $2,250,000 |
| 06-01354 | 10/16/2015 | Claimant(s): Adele Simonds
Claimant Lawyers(s): Adele Simonds
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jacqueline Marie Pierre, Howard N. Gorney, Steven S. Manos
Hearing Site: Boston, MA
| | $0 |
| 13-01142 | 10/15/2015 | Claimant(s): Board of Trustees of the Iron Workers Lo
Claimant Lawyers(s): William P. Callinan
Respondent(s): Citigroup Global Markets., Morgan Stanley Smith Barney, Smith Barney.
Respondent Lawyers(s): Rawn Howard Reinhard
Arbitrator(s): Michael Nathanson, Susan L. Walker, Seymour Andrew Newman
Hearing Site: Chicago, IL
| | Expungement |
| 13-02511 | 08/18/2015 | Claimant(s): Cynthia Scott, Jean Ruggiero
Claimant Lawyers(s): Michael James Maloney
Respondent(s): Aldo Valente, Wells Fargo Advisors Financial Network, Citigroup Global Markets., Nelson Martins, MetLife Investors Distribution Company
Respondent Lawyers(s): David J. Butler, Michael Naccarato
Arbitrator(s): Clarence Smith, Frank Joseph Clemens, Phillip Weitzman
Hearing Site: New York, NY
| | Expungement |
