| 09-03535 | 08/09/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): John Martfeld
Respondent Lawyers(s): D. Westbrook Doss,
Arbitrator(s): Royce Alan Burns, Donna J. Young, David T. Maddux
Hearing Site: Little Rock, AR
| | |
| 09-00294 | 08/06/2010 | Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
|  | Expungement |
| 09-02697 | 08/03/2010 | Claimant(s): Amzak Capital Management, Gerald J. Kazma Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Donald R. McGahan, Myron E. Levenson, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $1,817,300 |
| 09-03272 | 08/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jaymee Kahn
Respondent(s): John Pemberton
Respondent Lawyers(s): John Pemberton
Arbitrator(s): Thomas B. Phillips, Joseph M. Rebein
Hearing Site: Kansas City, MO
| | |
| 09-03614 | 08/02/2010 | Claimant(s): Curtis Pilot
Claimant Lawyers(s): Dawn Stith Evans
Respondent(s): Citigroup Global Markets., Webb Radcliff, Morgan Stanley Smith Barney (CRD#149777), Salomon Smith Barney (CRD # 7059)
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Kendall P. Hill, Steven P. Gregory, Marshal H. Emerson
Hearing Site: Birmingham, AL
| | Stipulated Award and Expungement |
| 09-04585 | 07/30/2010 | Claimant(s): Benjamin Mathis, Harold Mathis
Claimant Lawyers(s): Benjamin Mathis, Harold Mathis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Donald K. Eckhardt, Arno C. Schwethelm, William A. Wilson
Hearing Site: Houston, TX
| | $25,000 |
| 09-02455 | 07/28/2010 | Claimant(s): Alan Kirman, Peter Dunn
Claimant Lawyers(s): David J. Feingold
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Ellen J. Abrams, Michael J. Quarequio, Andrew R. Present
Hearing Site: Boca Raton, FL
| | |
| 09-04209 | 07/27/2010 | Claimant(s): The Estate of Philip Greenbaum
Claimant Lawyers(s): Adam Doner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Ronald H. Walton, Barth Satuloff, Louis Moroff
Hearing Site: Boca Raton, FL
| | $190,000 |
| 09-02765 | 07/22/2010 | Claimant(s): Abraham Koch, Cecelia Koch, Trust U/A/D 12/27/90, Cecelia A. Koch Trust U/A/D 12/27/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Arthur Weissman, Douglas Kobak, Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Bernard Herman, Peter D. Shelp, Eugene M. Schloss
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-06140 | 07/14/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Janice Koch
Respondent Lawyers(s): Janice C. Koch
Arbitrator(s): Robert Charkovsky
Hearing Site: Baltimore, MD
| | $0 |
