| 10-03498 | 08/23/2012 | Claimant(s): Glenna Wylie, Jack Wylie, Glenna Y. Wylie Trust U/A/D 5/2/91, Jack F. Wylie Trust U/A/D 5/2/91
Claimant Lawyers(s): Gordon D. Gee
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Michael D. Fitzgerald, Bruce Keplinger, Ronald G. Bruch
Hearing Site: Kansas City, MO
|  | $272,650 |
| 11-02609 | 05/04/2012 | Claimant(s): Shine Capital Corporation
Claimant Lawyers(s): Vivian R. Drohan
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Arthur D. Felsenfeld
Arbitrator(s): William A. Hohauser, Martin H. Zern, Evan L. Gordon
Hearing Site: New York, NY
| | $0 |
| 08-04100 | 03/14/2012 | Claimant(s): Scott Holt, Tracy Austin
Claimant Lawyers(s): Steven M. Goldberg
Respondent(s): Gary Fournier, Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron, William A. Hohauser
Arbitrator(s): Robert D. Sussin, Jon A. Bostrom, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-01452 | 11/15/2011 | Claimant(s): Erica Michaliga
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Citigroup Global Markets., Mary Mcevoy-Dockeray
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Jim Geiger, Elizabeth A. McKinney, Fred W. Miller
Hearing Site: Philadelphia, PA
| | $0 |
| 09-00565 | 08/25/2011 | Claimant(s): Jozsef Tasko
Claimant Lawyers(s): Ira Scot Meyerowitz
Respondent(s): Citigroup Global Markets., Robert Buonanno
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Frank Irizarry, Joan M. Traub, Jacob Scherer
Hearing Site: New York, NY
| | $0 |
| 09-07044 | 06/09/2011 | Claimant(s): Lois Grumet
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Gary Schwarcz, Citigroup Global Markets.
Respondent Lawyers(s): Wayne H. Wink, William A. Hohauser
Arbitrator(s): Diane Getzler, Richard Weinberger, Stewart E. Winner
Hearing Site: New York, NY
| | Expungement |
| 09-02155 | 05/26/2011 | Claimant(s): Cleveland Currie, Maria Currie
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Thomas E. Duggan, Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 09-06657 | 04/04/2011 | Claimant(s): Leslie Katz
Claimant Lawyers(s): Alex Gardner
Respondent(s): Citigroup Global Markets., Marvin Lerman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Robert Manfredo, Romaine L. Gardner, Bernard Korman
Hearing Site: New York, NY
| | $0 |
| 09-04948 | 03/23/2011 | Claimant(s): Estate of Hobart S. Geer
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Citigroup Global Markets., Mary Selgrad, Warren Rivetz
Respondent Lawyers(s): John E. Lawlor, William A. Hohauser
Arbitrator(s): Robert S. Getman, Preston V. Pumphrey, Patricia A. DeWitt
Hearing Site: New York, NY
| | $0 |
| 09-03682 | 10/15/2010 | Claimant(s): James Vogel
Claimant Lawyers(s): Thomas H. Tucker
Respondent(s): Citigroup Global Markets., Peter Dolan, Troy Rothmann
Respondent Lawyers(s): Peter C Dolan, William A. Hohauser
Arbitrator(s): Morris J. Levin, Marilyn H. Zuckerman, John Joseph Cotter
Hearing Site: Boston, MA
| | $30,000 |
