| 13-02511 | 08/18/2015 | Claimant(s): Cynthia Scott, Jean Ruggiero
Claimant Lawyers(s): Michael James Maloney
Respondent(s): Aldo Valente, Wells Fargo Advisors Financial Network, Citigroup Global Markets., Nelson Martins, MetLife Investors Distribution Company
Respondent Lawyers(s): David J. Butler, Michael Naccarato
Arbitrator(s): Clarence Smith, Frank Joseph Clemens, Phillip Weitzman
Hearing Site: New York, NY
|  | Expungement |
| 12-02242 | 07/16/2015 | Claimant(s): Robert Teel, Robert Charles LLC, Robert Charles & Co., L.P., Robert Charles Class A, Robert Charles L.P., Calvin Brown Memorial Trust
Claimant Lawyers(s): Leslie Wybiral, Louis F. Burke
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, Paul J. Schumacher
Arbitrator(s): Helen W. Kinnaird, Gene S. Evenskaas, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | $327,000 |
| 13-01343 | 07/06/2015 | Claimant(s): John Boris
Claimant Lawyers(s): Kevin M. Kiernan
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kip C. Lubcke, Camille S. Cooper, Bertrand M. Lanchner
Hearing Site: New York, NY
| | |
| 14-03101 | 06/30/2015 | Claimant(s): Nathan Bard and Monteen Bard
Claimant Lawyers(s): Rob Bleecher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | $0 |
| 14-02769 | 06/19/2015 | Claimant(s): Geoffrey Vanderpal
Claimant Lawyers(s): David E. Robbins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Rebecca J. Nelson
Arbitrator(s): Daniel M. Yamshon, Linda P. Drucker, Scott Robert Shewan
Hearing Site: San Francisco, CA
| | |
| 13-02035 | 06/17/2015 | Claimant(s): Julia Numair
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Mary A. Dubas, James M. Rhodes, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 14-00632 | 06/15/2015 | Claimant(s): Shahid Karim
Claimant Lawyers(s): Lottie Cohen
Respondent(s): Citigroup Global Markets., Citi Bank, NA
Respondent Lawyers(s): Benjamin A. Tulis, Theresa M. Marchlewski
Arbitrator(s): Mark S. Priver, Richard J. Stall, Christopher L. Mass
Hearing Site: Los Angeles, CA
| | |
| 14-01261 | 05/26/2015 | Claimant(s): Damon O'Rear, Judy O'Rear, Richard O'Rear, Robert O'Rear, O'Rear Grantor Retained Trust
Claimant Lawyers(s): Edwin J. Schklar, Maggie M. Heim
Respondent(s): Christopher Scarborough, Citigroup Global Markets., Herschell Scarborough, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed, David G. Russell
Arbitrator(s): Lita S Menkin, Ronelle W. Genser, Rudolph Andrew Bata
Hearing Site: Atlanta, GA
| | $0 |
| 13-02749 | 05/22/2015 | Claimant(s): Brenda S. Kinard Trust U/A/D 09-19-2002
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Darryl C. Wilson, John L Mutolo, Joel David Cowart
Hearing Site: Tampa, FL
| | Expungement |
| 13-03397 | 04/28/2015 | Claimant(s): David Olson
Claimant Lawyers(s): William Keith Watanabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Jeffrey A. Sonshine, Howard D. Jacob, Evan L. Gordon
Hearing Site: New York, NY
| | |
