| 10-03784 | 01/19/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Eleonora Grinshteyn
Respondent(s): Michael Mildon
Respondent Lawyers(s): Michael Joseph Mildon
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 09-05393 | 01/18/2011 | Claimant(s): Paul Chaplin and Karen Chaplin, Wayne Chaplin and Arlene Chaplin
Claimant Lawyers(s): Scott M. Dimond
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): David M. Levine, Kevin A. Llinas, Bart Samuel Cohodas
Hearing Site: Miami, FL
|  | Expungement |
| 09-07021 | 01/13/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): Guido Alvarez
Respondent Lawyers(s): Guido J. Alvarez
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 09-02975 | 01/13/2011 | Claimant(s): Bernard Sussman, IRA, Bernard Sussman Revocable Trust
Claimant Lawyers(s): Michael Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Peter J. Lavezzoli, James W. Geiger, Mark I. Roth
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 03-02421 | 01/04/2011 | Claimant(s): Oppenheimer & Co.
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): George M. Garvey
Arbitrator(s): Ronald L. Cameron, Mark S. Priver, Ronald E. Ogden
Hearing Site: Los Angeles, CA
| | |
| 09-06164 | 12/23/2010 | Claimant(s): The Trust FBO Dorothy S. Hellyer
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy Bass
Arbitrator(s): Jane C. Carney, Peter J. Pokorny, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $300 |
| 08-04276 | 12/16/2010 | Claimant(s): James Murphy
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): William F. Glaser, David M. Snyder, Gayle B. Carlson
Hearing Site: Tampa, FL
| | $1,042,990 |
| 09-05134 | 12/16/2010 | Claimant(s): Concetta Bannan, Gerard Bannan
Claimant Lawyers(s): John F. McKenna
Respondent(s): Arthur Jones, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Karl Marquardt
Arbitrator(s): Guillermo L. Bosch, Gordon E. Wright, Elliot B. Platt
Hearing Site: Philadelphia, PA
| | $0 |
| 08-03623 | 12/15/2010 | Claimant(s): Charlie Johnson
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick King
Arbitrator(s): Monette E. Draper, Raymond M. Kirtley, John Andrew Wagner
Hearing Site: Indianapolis, IN
| | $0 |
| 09-01338 | 12/13/2010 | Claimant(s): Karin Paridee-Beard, Ronald Beard, Beard Living Trust dtd 3/30/1999
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Richard J. Stall, David W. Dresnick, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $336,270 |
