| 09-05639 | 09/28/2011 | Claimant(s): Ernst Mahler
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Monroe Mitchel, Ralph H. Emer, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | |
| 10-00278 | 09/14/2011 | Claimant(s): Mary Wynns, Richard Wynns
Claimant Lawyers(s): Philip Matthews
Respondent(s): Citigroup Global Markets., John Gellasch, Morgan Stanley
Respondent Lawyers(s): Thomas R. Cox
Arbitrator(s): Patrick R. Sughroue, Bruce F. Coleman, Terrance J. Dorcy
Hearing Site: Detroit, MI
|  | $172,445 |
| 10-01847 | 08/26/2011 | Claimant(s): George Putnam
Claimant Lawyers(s): Justin T. Berger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Frank R Weaver, Michael J. Fish, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $127,944 |
| 09-00565 | 08/25/2011 | Claimant(s): Jozsef Tasko
Claimant Lawyers(s): Ira Scot Meyerowitz
Respondent(s): Citigroup Global Markets., Robert Buonanno
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Frank Irizarry, Joan M. Traub, Jacob Scherer
Hearing Site: New York, NY
| | $0 |
| 10-03684 | 08/02/2011 | Claimant(s): Jeanette Kridel, Jeanette Loree Kridel Trust
Claimant Lawyers(s): William J. Kridel
Respondent(s): Citigroup Global Markets., Stephen Endlar, William Dodge
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
| 09-01331 | 08/01/2011 | Claimant(s): Carl Meisner
Claimant Lawyers(s): Eric L. Rhodes
Respondent(s): David Endres, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): James G. Cooper, Philip I. McConnell, Charles E. Munson
Hearing Site: Houston, TX
| | $375 |
| 09-01362 | 07/14/2011 | Claimant(s): Margaret Davon, Stuart Bedrin, Dorothea Jacoby Revocable Trust, Margaret F. Davon Revocable Trust, Stuart Bedrin Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Donald R. McGahan, Ellen J. Abrams, Sidney J. Wartel
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 09-06493 | 07/13/2011 | Claimant(s): Richard Orkin, DOCSI LLC, f/k/a DOCSI Corp., The DOCSI Corp. PSP dtd 09/01/91, The DOCSI Corp. Profit Sharing Plan
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Steven Gourley, Gerald C. Tambe, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03980 | 07/12/2011 | Claimant(s): Alan Kovner, Alan Kovner Scholars Choice FBO J Kovner, Alan M. Kovner ACF Joshua A. Kovner U/NY, Alan Kover CGM IRA Custodian, Joshua A. Kovner TTEE FBO Alan Kovner
Claimant Lawyers(s): Vincent W. Ansanelli
Respondent(s): Citigroup Global Markets., Smith Barney.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Barry Feiden, Jerome H. Levy, Keely D. Parr
Hearing Site: New York, NY
| | Expungement |
| 09-05934 | 07/11/2011 | Claimant(s): HAP Trading
Claimant Lawyers(s): Thomas J. McCabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Robert L. Spangler, Allan N. Taffet, Mark J. Happe
Hearing Site: New York, NY
| | |
