| 18-00013 | 01/10/2019 | Claimant(s): James Elam
Claimant Lawyers(s): James Warren Elam
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Matthew R. Salamon, Mary Esther Escobedo, Joseph Neal Richardson
Hearing Site: Little Rock, AR
| | |
| 17-03437 | 01/07/2019 | Claimant(s): Aldus Chapin, Chapin Family Trust
Claimant Lawyers(s): Aldus N Chapin
Respondent(s): TD Ameritrade., Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch, Simeon Schopf
Arbitrator(s): Harvey Barrison, Julian F. Santos, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
|  | Expungement |
| 16-03433 | 12/18/2018 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jill L. Rosenberg
Respondent(s): James Webb
Respondent Lawyers(s): James Daniel Webb
Arbitrator(s): William E. Schneider, Michael S. Davidoff, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 18-01080 | 12/12/2018 | Claimant(s): Jeremy Paul
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., National Planning Corporation, Walnut Street Securities.
Respondent Lawyers(s): Christina Vourakis, David I. Hantman, Scott Forbush
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 18-02787 | 12/11/2018 | Claimant(s): Marisa Pollard
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Samuel H. Chorches
Hearing Site: Providence, RI
| | |
| 18-00139 | 12/06/2018 | Claimant(s): Keith Seibert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 18-01497 | 11/20/2018 | Claimant(s): Mick Dadlani
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David Hantman
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 18-01230 | 11/15/2018 | Claimant(s): Shane Brisbin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-01780 | 11/13/2018 | Claimant(s): Laura Raulinaitis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | |
| 18-00979 | 11/07/2018 | Claimant(s): Kelly Kerr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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