| 11-01031 | 07/02/2014 | Claimant(s): Ramon Ramirez, Sylvia Ramirez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Citigroup Global Markets., Popular Securities.
Respondent Lawyers(s): Jason S Haselkorn, Roberto C. Quinones-Rivera
Arbitrator(s): Charles Hoffman, Stuart K. Furman, Jeffrey R. Roth
Hearing Site: San Juan, PR
|  | Expungement |
| 12-00801 | 04/29/2014 | Claimant(s): Patricia Whitelock
Claimant Lawyers(s): Stephen R. Mahler
Respondent(s): Gregory Mowrer, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Stanley M. Ulanoff, David S. Billet, Lloyd H. Slomanson
Hearing Site: New York, NY
| | Expungement |
| 12-03668 | 03/20/2014 | Claimant(s): Beth Landau
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): William G. Binckes, Raymond Nardo, Annette B. Meyers
Hearing Site: New York, NY
| | Expungement |
| 13-00125 | 03/14/2014 | Claimant(s): Cheraldine Oliver, Joseph Mucerino, THE CHERALDINE OLIVER LIVING TRUST, THE JOSEPH MUCERNO LIVING TRUST
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Citigroup Global Markets., Mark Lichtenfeld
Respondent Lawyers(s): Susan E. Mulholland
Arbitrator(s): Philip Levine, Kenneth J. Horowitz, Marilyn Chin
Hearing Site: Newark, NJ
| | Expungement |
| 12-00951 | 01/06/2014 | Claimant(s): Deborah Shishko, Robert Shishko, John Shishko Revocable Trust, Robert Shishko Trust
Claimant Lawyers(s): J. Christopher Wehrle, Marc L. Godino
Respondent(s): Elliott Moskowitz, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Robert J. Ruben, Blaine Smith, David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00291 | 12/19/2013 | Claimant(s): Anita Apt, Estate of Nellie Apt, The Nellie Apt Revocable Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Shelley Teitelbaum, Peter A. Goldman, Nancy Kramer
Hearing Site: New York, NY
| | Expungement |
| 12-01357 | 11/06/2013 | Claimant(s): Thomas B. Weigand and Irene M. Weigand
Claimant Lawyers(s): Ronald M. Rowars
Respondent(s): Christopher Sinkula, Citigroup Global Markets., Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner, Sean J. Coughlin
Arbitrator(s): James A. Collins, Robert J. Buchner, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00308 | 11/01/2013 | Claimant(s): Paula Lerner
Claimant Lawyers(s): Paula Lerner
Respondent(s): Arda Thomas, Emile Abinader, Citigroup Global Markets., Pershing LLC, CITI Personal Wealth Management
Respondent Lawyers(s): Carissa A. Kranz, Jane L. Myers
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
| | $0 |
| 12-02421 | 10/31/2013 | Claimant(s): Susan Lark
Claimant Lawyers(s): Marc J. Gross
Respondent(s): Citigroup Global Markets., Renee Schwartz
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Simone A. Muscarnera, Kenneth J. Horowitz, Jeffrey Allen Held
Hearing Site: Newark, NJ
| | Expungement |
| 12-03571 | 10/15/2013 | Claimant(s): Isolde Cooper, George Cooper Irrevocable Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Brian Redican, Citigroup Global Markets.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Barnard Seligman, John Daly, Richard Bryce Nesson
Hearing Site: New York, NY
| | Expungement |
