| 12-00835 | 05/10/2013 | Claimant(s): Supplemental Needs Trust
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
|  | Expungement |
| 11-02126 | 11/14/2012 | Claimant(s): Ronald Daurio
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): James Doidge, Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): William F. Skewes, Richard M. Reider, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $70,375 |
| 10-02760 | 08/28/2012 | Claimant(s): Bernard Witkin, Sharon Witkin, Bernard Witkin IRA, Sharon E. Witkin IRA
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Citigroup Global Markets., Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire, Joseph L. Calabrese
Arbitrator(s): Richard M. Reider, Marilyn R. Lewis, Matthew Maurice Wolf
Hearing Site: Denver, CO
| | Expungement |
| 10-04519 | 07/16/2012 | Claimant(s): Guy Patterson
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Jane D. Lollis
Hearing Site: Nashville, TN
| | Stipulated Award and Expungement |
| 10-04784 | 07/03/2012 | Claimant(s): Stavros Oscar Cid and Teresa Cid JTWROS, Teresa Cid JTWROS
Claimant Lawyers(s): Robert Giusti
Respondent(s): Citigroup Global Markets., John Abadiotakis
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Steven A. Infante, Benjamin L. Anderson
Hearing Site: New York, NY
| | $0 |
| 10-04783 | 12/19/2011 | Claimant(s): Est. of Percival H.E. Leach by Gregory G
Claimant Lawyers(s): Christopher E. Torkelson
Respondent(s): E. du Pont, Morgan Stanley
Respondent Lawyers(s): Alissa Pyrich, Joseph L. Calabrese
Arbitrator(s): Linda T. Pellegrino, Philip Rachmelowitz, S. Charles Tabak
Hearing Site: Newark, NJ
| | $48,000 |
| 09-02965 | 04/05/2011 | Claimant(s): Florence E. Jordan Trust
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Gregory Alford, Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Lita S Menkin
Hearing Site: Birmingham, AL
| | $0 |
| 09-05070 | 11/18/2010 | Claimant(s): Joanne Bohnke
Claimant Lawyers(s): David Valicenti
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Robert S. McConnell, Thomas A. Peterson, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | $136,112 |
| 09-05365 | 10/26/2010 | Claimant(s): John Szrko, Pamela Szurko
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | Expungement |
| 08-01412 | 08/18/2010 | Claimant(s): Gerard Chang
Claimant Lawyers(s): Gerard Chang
Respondent(s): Deborah Tharp, Citigroup Global Markets., Paul Katerndahl, Citigroup Smith Barney.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
