| 11-03225 | 12/03/2014 | Claimant(s): Helen Edgerton
Claimant Lawyers(s): Robert G. Rikard
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Charles F. Boufford, Richard E. Miley, Donald John Andres
Hearing Site: Columbia, SC
|  | Expungement |
| 12-03314 | 11/25/2014 | Claimant(s): Egerton Bullock
Claimant Lawyers(s): Ann C. Northern
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Frank M. Suttell, Judith P. Brooks, Patricia A. DeWitt
Hearing Site: New York, NY
| | $0 |
| 13-03087 | 10/24/2014 | Claimant(s): Beverly S. Krosky
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Howard D. Jacob, Kevin P. Feerick, Robert Clifford Boneberg
Hearing Site: New York, NY
| | Expungement |
| 13-02434 | 10/21/2014 | Claimant(s): Seone Miller
Claimant Lawyers(s): Karola Crothers
Respondent(s): Citigroup Global Markets., James Frank
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Wendy L. Harris, Linda I. Thomas, Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 11-00425 | 10/17/2014 | Claimant(s): Haydee de Cancio, Pablo Cancio
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Citigroup Global Markets., Juan Colon-Perea, Popular Securities.
Respondent Lawyers(s): Jason S. Haselkorn, Roberto C. Quinones-Rivera
Arbitrator(s): Monroe Mitchel, Stuart K. Furman, Robert G. Falbisaner
Hearing Site: San Juan, PR
| | Expungement |
| 12-00765 | 10/15/2014 | Claimant(s): Sherry Katz-Hedrington, Security Financial Management Compnay, L
Claimant Lawyers(s): Derek S Wilczynski
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kyle D. Rettberg
Arbitrator(s): Tracy L. Allen, Matthew W. Schlegel, Gerald W. Hepp
Hearing Site: Detroit, MI
| | $600 |
| 10-04386 | 10/02/2014 | Claimant(s): Judith Goldman, Kenneth Goldman
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Barry Guariglia, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Toby S. Soli
Arbitrator(s): Jim Geiger, Doris J. Dabrowski, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | $0 |
| 12-03600 | 08/13/2014 | Claimant(s): Stephen Fleischer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard J. Kaplan, Nanci Sondra Landy, Donna Greenspan Solomon
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-02268 | 07/31/2014 | Claimant(s): Joanna Lyon, Ray Lyon
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Douglas Earl McLaren, Jonathan K. Tycko, Jane A. Smith
Hearing Site: Washington, DC
| | Expungement |
| 13-03620 | 07/31/2014 | Claimant(s): Richard Hylland
Claimant Lawyers(s): Richard R. Hylland
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $0 |
