| 12-00291 | 12/19/2013 | Claimant(s): Anita Apt, Estate of Nellie Apt, The Nellie Apt Revocable Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Shelley Teitelbaum, Peter A. Goldman, Nancy Kramer
Hearing Site: New York, NY
|  | Expungement |
| 09-05042 | 12/12/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Mark J. Alonso
Respondent(s): Robert Loftus
Respondent Lawyers(s): Jeffrey L. Liddle
Arbitrator(s): Hugh N. Fryer, Joseph A. Forgione, Kenneth Paul Williams
Hearing Site: New York, NY
| | |
| 12-01357 | 11/06/2013 | Claimant(s): Thomas B. Weigand and Irene M. Weigand
Claimant Lawyers(s): Ronald M. Rowars
Respondent(s): Christopher Sinkula, Citigroup Global Markets., Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner, Sean J. Coughlin
Arbitrator(s): James A. Collins, Robert J. Buchner, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00308 | 11/01/2013 | Claimant(s): Paula Lerner
Claimant Lawyers(s): Paula Lerner
Respondent(s): Arda Thomas, Emile Abinader, Citigroup Global Markets., Pershing LLC, CITI Personal Wealth Management
Respondent Lawyers(s): Carissa A. Kranz, Jane L. Myers
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
| | $0 |
| 12-02421 | 10/31/2013 | Claimant(s): Susan Lark
Claimant Lawyers(s): Marc J. Gross
Respondent(s): Citigroup Global Markets., Renee Schwartz
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Simone A. Muscarnera, Kenneth J. Horowitz, Jeffrey Allen Held
Hearing Site: Newark, NJ
| | Expungement |
| 12-03571 | 10/15/2013 | Claimant(s): Isolde Cooper, George Cooper Irrevocable Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Brian Redican, Citigroup Global Markets.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Barnard Seligman, John Daly, Richard Bryce Nesson
Hearing Site: New York, NY
| | Expungement |
| 12-00119 | 10/03/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Mark J. Alonso
Respondent(s): Otto Font
Respondent Lawyers(s): Otto Francisco Font
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
| | |
| 13-00339 | 09/26/2013 | Claimant(s): Jill Ingerman
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-02424 | 09/18/2013 | Claimant(s): The Police and Fire Retirment System
Claimant Lawyers(s): Michael J. Sheehan
Respondent(s): Glenn Murray, Citigroup Global Markets., John Giampetroni, Morgan Stanley, GSC CDO, L.L.C., GSC PARTNERS CDO INVESTORS II, L.P., GSC PARTNERS CDO INVESTORS, GSCP (NJ) L.P., Morgan Stanley Dean Witter
Respondent Lawyers(s): Daniel A. Ross, Gregory B. Simon, Rawn Howard Reinhard, Stefan R. Dandelles
Arbitrator(s): Richard C. Vanden Brul, Stephen D Kursman, Gerald W. Hepp
Hearing Site: Detroit, MI
| | $0 |
| 11-04269 | 09/10/2013 | Claimant(s): Steven Jones
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Citigroup Global Markets., UBS Financial Services Inc., Marvin Goldin, Michael Kosik
Respondent Lawyers(s): Amy B. Bard, William Hohauser
Arbitrator(s): Roger J. Hawke, Marguerite B. Filson, Lincoln W. Craighead
Hearing Site: New York, NY
| | Expungement |
