| 07-02376 | 06/02/2008 | Claimant(s): Beatrice Strulowitz
Claimant Lawyers(s): Randall J. Perry
Respondent(s): Frances Goldstein, Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel, Joseph L. Calabrese
Arbitrator(s): Herbert Z. Geiger, William E. Smith, Daniel A. Pinkus
Hearing Site: Newark, NJ
|  | $0 |
| 07-03197 | 05/29/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'elia
Respondent(s): Alan Haber
Respondent Lawyers(s): Alan Haber
Arbitrator(s): William E. Smith
Hearing Site: Newark, NJ
| | $0 |
| 07-03110 | 05/22/2008 | Claimant(s): Toni Ciarlariello
Claimant Lawyers(s): Toni G. Ciarlariello
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
| | $0 |
| 07-03195 | 04/28/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Vikas Patel
Respondent Lawyers(s): Vikas Patel
Arbitrator(s): Richard E. Lerner
Hearing Site: Newark, NJ
| | $0 |
| 07-03180 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Joshua Levine
Respondent Lawyers(s): Joshua Levine
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $0 |
| 07-00489 | 03/27/2008 | Claimant(s): Patricia Pearson
Claimant Lawyers(s): Patricia Ann Pearson
Respondent(s): Barbara Ahern, Citigroup Global Markets., Michael Passeroff, William Dodge
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $18,000 |
| 04-04140 | 02/22/2008 | Claimant(s): Patricia McEvoy
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Gregory Wagner, Marcel Wagner, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe
Arbitrator(s): Jim Geiger, Fred Shinagel, Linda T. Pellegrino
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 04-05795 | 02/22/2008 | Claimant(s): Vincent Bellino
Claimant Lawyers(s): Vincent Bellino
Respondent(s): Wachovia Securities, Frank Kim, John Compton, Patrick Kim
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Cornelius C. Clancy, Bernard Herman, Irene C. Warshauer
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 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 |
| 06-02392 | 02/06/2008 | Claimant(s): Robert Scherrer
Claimant Lawyers(s): Richard DeVita
Respondent(s): Brill Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $64,605 |
