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FINRA Awards for Citigroup Global Markets

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0191302/27/2009Claimant(s): Lanny A. Horwitz Rev Trust
Claimant Lawyers(s): Lanny A. Horwitz
Respondent(s): Citigroup Global Markets
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Paul W. Sterman
Hearing Site: Boca Raton, FL
Checkmark Icon$213
07-0058211/27/2007Claimant(s): Laura Hammond, Michael Hammond, Sports Etc II. Profit Sharing
Claimant Lawyers(s): Michael F. Hammond
Respondent(s): David Sidwell, John Riley, Morgan Stanley DW Inc., Citigroup Global Markets
Respondent Lawyers(s): Raul Sanchez, Susan Poder MacFarlane
Arbitrator(s): Byron Alexander Menides, Edward Joseph Boudreau, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
Checkmark Icon$0

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