| 08-01819 | 05/05/2009 | Claimant(s): Thomas Guastello
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Citigroup Global Markets., Shawn Burr
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Jerome D. Sobczak, A. Robert Stevenson, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
|  | $0 |
| 07-02572 | 12/01/2008 | Claimant(s): Shirley Hurd, Shirley H. Hurd Family Trust
Claimant Lawyers(s): Steven E. Achelpohl
Respondent(s): Citigroup Global Markets., Teri Wilson, Terrence Devlin
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): James C. Morrow, Douglas A. Spier, Ken L. Andersen
Hearing Site: Omaha, NE
| | Stipulated Award and Expungement |
| 06-04480 | 11/07/2008 | Claimant(s): Phyllis Francis
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Norris D. Wolff, William R.H. Martin, Robert A. Cohen
Hearing Site: Newark, NJ
| | $0 |
| 07-02189 | 10/08/2008 | Claimant(s): Joan Donohue, Todd Donohue, Joan E. Donohue, IRA
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Thomas M. Crawford, Edith M. Novack, Steven A. Infante
Hearing Site: New York, NY
| | Expungement |
| 07-02314 | 08/28/2008 | Claimant(s): Susan Key
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers
Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV
Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell
Hearing Site: Houston, TX
| | Stipulated Award and Expungement |
| 06-04535 | 07/23/2008 | Claimant(s): Randy Bick, Bick Family Trust
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): James H. Frank, Ernest L. Burnside, Ian F. Gow
Hearing Site: Los Angeles, CA
| | $0 |
| 07-01661 | 02/15/2008 | Claimant(s): Ethel Cress
Claimant Lawyers(s): Jon-Henry Barr
Respondent(s): Alan Fox, Citigroup Global Markets., Louis Metzger
Respondent Lawyers(s): Douglas B. Appel, Hugo A. Hilgendorff
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 06-03212 | 12/13/2007 | Claimant(s): Lucille Small
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Citigroup Global Markets., Richard Olsen, Sara Farner, William Blick
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Douglas W. Oldfield, Allan Brotsky, David C. Tateosian
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 06-04625 | 09/14/2007 | Claimant(s): Betty Gray
Claimant Lawyers(s): Richard C. Downing
Respondent(s): Charles George, Citigroup Global Markets.
Respondent Lawyers(s): Donald J. Mehan, Hugo A. Hilgendorff
Arbitrator(s): Ronald R. Wilhelm, Elton W. Chartrand, Carolyn L. Witherspoon
Hearing Site: Little Rock, AR
| | $1,157,380 |
