| 10-01534 | 11/07/2011 | Claimant(s): Connie Janousek
Claimant Lawyers(s): Richard L. Bolton
Respondent(s): Christopher Ayer, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): P. J. Boylan, Roy Clyde George, Gary L. Grolle
Hearing Site: Milwaukee, WI
|  | $36,775 |
| 09-06200 | 11/04/2011 | Claimant(s): Michael Padilla, PTC Acquisitions
Claimant Lawyers(s): David Darnell
Respondent(s): Citigroup Global Markets., Morgan Stanley, Nat Di Carlo, Robert Martensen, Smith Barney, Smith Barney Consulting Group, The Catalina Group
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Dorothy B. Strackbein, David W. Dresnick, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04272 | 11/04/2011 | Claimant(s): Michele Perillo
Claimant Lawyers(s): Lawrence J. Felder
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Lanny M. Leff, Amy L. Wachs, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $0 |
| 10-02950 | 11/01/2011 | Claimant(s): Richard Guido
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Dora M. Lassinger, Ernesto V. Luzzatto, David Jeremy Mattana
Hearing Site: New York, NY
| | Expungement |
| 09-05697 | 10/26/2011 | Claimant(s): Algrie Bridges
Claimant Lawyers(s): Algrie M. Bridges
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Robert E. Thompson, Laura Effel, Susan B. Gans-Smith
Hearing Site: San Francisco, CA
| | |
| 11-00045 | 10/25/2011 | Claimant(s): Michael Mohan
Claimant Lawyers(s): Joseph P. Webber
Respondent(s): Citigroup Global Markets., Morgan Stanley, Robert Marwill, Steven Mechlowicz
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): James E. Schlottmann, Jerry C. Prestridge, Bertrand C. Moser
Hearing Site: Houston, TX
| | $674,755 |
| 11-01670 | 10/20/2011 | Claimant(s): Suzanne Nitzberg
Claimant Lawyers(s): Suzanne H. Nitzberg
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 10-03334 | 10/12/2011 | Claimant(s): Alphonse Lucchese
Claimant Lawyers(s): Robert F. Dionisi
Respondent(s): Alfred Weaver, Citigroup Global Markets., Robert Malenfant, Citi Smith Barney
Respondent Lawyers(s): Compliance Officer, T. Peter R. Pound
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $0 |
| 10-05322 | 10/10/2011 | Claimant(s): Jayakumar Muthukamatchi, Jayakumar Muthukamatchi IRA
Claimant Lawyers(s): Jayakumar Muthukamatchi
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Ira G. Rosenstein
Arbitrator(s): Jim Geiger
Hearing Site: Wilmington, DE
| | $0 |
| 08-01683 | 09/30/2011 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): John Perry, Ronald Perry
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Thomas Czinner, Daniel P. Lund, Andrew David Kahng
Hearing Site: Boca Raton, FL
| | |
