| 13-00339 | 09/26/2013 | Claimant(s): Jill Ingerman
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
|  | Expungement |
| 10-02424 | 09/18/2013 | Claimant(s): The Police and Fire Retirment System
Claimant Lawyers(s): Michael J. Sheehan
Respondent(s): Glenn Murray, Citigroup Global Markets., John Giampetroni, Morgan Stanley, GSC CDO, L.L.C., GSC PARTNERS CDO INVESTORS II, L.P., GSC PARTNERS CDO INVESTORS, GSCP (NJ) L.P., Morgan Stanley Dean Witter
Respondent Lawyers(s): Daniel A. Ross, Gregory B. Simon, Rawn Howard Reinhard, Stefan R. Dandelles
Arbitrator(s): Richard C. Vanden Brul, Stephen D Kursman, Gerald W. Hepp
Hearing Site: Detroit, MI
| | $0 |
| 11-04269 | 09/10/2013 | Claimant(s): Steven Jones
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Citigroup Global Markets., UBS Financial Services Inc., Marvin Goldin, Michael Kosik
Respondent Lawyers(s): Amy B. Bard, William Hohauser
Arbitrator(s): Roger J. Hawke, Marguerite B. Filson, Lincoln W. Craighead
Hearing Site: New York, NY
| | Expungement |
| 10-05079 | 08/12/2013 | Claimant(s): Estate of Wilma S. Yount
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Stephen P. Hoffman, Thomas Doyle Blum, Frank V. Tutone
Hearing Site: Charlotte, NC
| | Expungement |
| 10-03615 | 07/30/2013 | Claimant(s): FBO John Leopoldo Fiorilla Trust U/A/D 0
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Edward Mulcahy, Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Andrew E. Reegen, Marilyn J. Salzman, Martin A. Edelstein
Hearing Site: New York, NY
| | $11,000,600 |
| 12-01300 | 07/25/2013 | Claimant(s): Doris S. Henley Family Trust
Claimant Lawyers(s): Randall Udelman
Respondent(s): Citigroup Global Markets., James Casey
Respondent Lawyers(s): Ellen Sessions, Raul Sanchez
Arbitrator(s): Howard W. Shannon, Paul J. Robinson, Allan Levey
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-01828 | 07/11/2013 | Claimant(s): Edna Thompson, Edna E. Thompson CGM IRA Custodian
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Julie W. Portera, Todd H. Cox
Arbitrator(s): Daniel H. Kolber, Donald Milo Helton, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 11-02571 | 07/10/2013 | Claimant(s): Edward Massey, Merrilyn Massey
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Robert L. Yeager, William E. Hartsfield, Andrea U. Calve
Hearing Site: Dallas, TX
| | Expungement |
| 11-00896 | 06/26/2013 | Claimant(s): Leonard Nole
Claimant Lawyers(s): Steven H. Doto
Respondent(s): Citigroup Global Markets., John Graff, Scott Whalen
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Robert F. Sanville, Alan J. Blocher, Carol H. Gold
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-04657 | 06/26/2013 | Claimant(s): Mildred Pitchon
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): David Donovan, Citigroup Global Markets., Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Angela T. Turiano
Arbitrator(s): Steven David Leader, Keith Roberts, Robert Bartels
Hearing Site: New York, NY
| | Expungement |
