| 09-02596 | 07/12/2010 | Claimant(s): Tommy Sausley
Claimant Lawyers(s): Tommy N. Sausley
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas D. Cordell
Arbitrator(s): Philip I. McConnell, Mark A. Myers, Michele N. O'Brien
Hearing Site: Houston, TX
| | |
| 09-03398 | 07/06/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Donald Paul
Respondent Lawyers(s): D. Westbrook Doss
Arbitrator(s): James Stephen Jones, Donald R. Winton, Royce Alan Burns
Hearing Site: Little Rock, AR
| | |
| 09-01477 | 06/29/2010 | Claimant(s): Intevac.
Claimant Lawyers(s): Robert L. Schnell
Respondent(s): Citigroup Global Markets., Citigroup Inc.
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Gail Killefer
Hearing Site: San Francisco, CA
|  | Auction Rate Securities related |
| 08-03173 | 06/24/2010 | Claimant(s): Donald E. Miller and Maxine L. Miller
Claimant Lawyers(s): John A. Bender
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Higendorff
Arbitrator(s): William J. Bender, Melvyn Jay Simburg, Fredrick John Bahr
Hearing Site: Seattle, WA
| | $479,880 |
| 08-02896 | 06/21/2010 | Claimant(s): John Arnold, Michael Johnston, Michael Mittman
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Mark A. Levy, Bruce A. Davidson, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
| 09-02635 | 06/18/2010 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Thomas B. Kinzler
Respondent(s): Citigroup Global Markets., Citigroup Global Markets, Ltd.
Respondent Lawyers(s): Susan J. Steinthal
Arbitrator(s): Richard S. Peskin, William C. Struyk, Richard J. McLynn
Hearing Site: New York, NY
| | |
| 09-03231 | 06/15/2010 | Claimant(s): Clayton Scholand, George Rankin, George Verdone, Samuel Rankin, William Wynn
Claimant Lawyers(s): Sara W Higgins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher M. Galusha
Arbitrator(s): Harold Engelman, James Edward Banks, Wendy J. Reyner
Hearing Site: Charlotte, NC
| | |
| 08-04312 | 06/10/2010 | Claimant(s): Esberaldo Martinez and Olga M. Martinez
Claimant Lawyers(s): Marie E. Lopez Adames
Respondent(s): Alberto Perez, Citigroup Global Markets.
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Stan West, Robert H. Hagan, Nancy J. Cliff
Hearing Site: San Juan, PR
| | $212,875 |
| 09-02518 | 05/28/2010 | Claimant(s): Elizabeth Austin, Elizabeth O. Austin Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): John D. Perry
Arbitrator(s): Murray S. Levin, Joseph M. Rebein, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | $0 |
| 09-05744 | 05/27/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Thomas Stoner
Respondent Lawyers(s): Thomas Lee Stoner
Arbitrator(s): Mary Margaret Bush
Hearing Site: Anchorage, AK
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