| 09-03682 | 10/15/2010 | Claimant(s): James Vogel
Claimant Lawyers(s): Thomas H. Tucker
Respondent(s): Citigroup Global Markets., Peter Dolan, Troy Rothmann
Respondent Lawyers(s): Peter C Dolan, William A. Hohauser
Arbitrator(s): Morris J. Levin, Marilyn H. Zuckerman, John Joseph Cotter
Hearing Site: Boston, MA
|  | $30,000 |
| 08-00043 | 10/13/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Frank Fava
Respondent Lawyers(s): Ronald J. Ricci
Arbitrator(s): Marvin Schleyer, Gerald Joseph Coughlin, Robert Alan Mayer
Hearing Site: Newark, NJ
| | |
| 09-03251 | 10/06/2010 | Claimant(s): Larry Hagman, Larry Hagman IRA CGM IRA Custodian, Larry Hagman Rollover IRA CGM, Larry Hagman & Maj I. Hagman Rev Trust, The Hagman Insurance Trust UAD 03/21/06
Claimant Lawyers(s): Philip Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Michael W. Delaney, Kenneth E. Kreh, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $11,118,800 |
| 08-04546 | 10/05/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Werner
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Jeffrey Steinberg, Felix A. Meschini, Robert W. Ratti
Hearing Site: Philadelphia, PA
| | |
| 09-00297 | 10/01/2010 | Claimant(s): Rick and Patricia Howard
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Stan West, Ralph H. Emer, Mervyn A. Feinstein
Hearing Site: Boca Raton, FL
| | $0 |
| 09-00492 | 09/30/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Dana Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Katherine Jane Morris
Hearing Site: San Diego, CA
| | |
| 09-02318 | 09/30/2010 | Claimant(s): Joyce Yabkow
Claimant Lawyers(s): Michael B. Specht
Respondent(s): Citigroup Global Markets., William Burns
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert Manfredo, Evonne W.J. Tolbert, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 09-04885 | 09/30/2010 | Claimant(s): Robert Finkelstein
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $30,000 |
| 09-03119 | 09/27/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. MacAvoy
Respondent(s): Andrea Smith
Respondent Lawyers(s): Steven C. Earl
Arbitrator(s): Eli Bensky, Joshua D. Wallach, Ross D. Friend
Hearing Site: Houston, TX
| | |
| 09-02491 | 09/23/2010 | Claimant(s): Vikki Okasaki
Claimant Lawyers(s): Vikki Okasaki
Respondent(s): Citigroup Global Markets., Paul Couch
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Philip H. Marmurowski, Stephen F. Kempa, Dee Newell
Hearing Site: Las Vegas, NV
| | $15,500 |
