| 07-03199 | 10/09/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Eric Chow
Respondent Lawyers(s): Eric Chow
Arbitrator(s): Gerald A. Koris
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-02189 | 10/08/2008 | Claimant(s): Joan Donohue, Todd Donohue, Joan E. Donohue, IRA
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Thomas M. Crawford, Edith M. Novack, Steven A. Infante
Hearing Site: New York, NY
| | Expungement |
| 06-04200 | 10/01/2008 | Claimant(s): Barbara Lerner
Claimant Lawyers(s): Lisa Catalano
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): J. Martin McDonough, Richard S. Peskin, Linda G. March
Hearing Site: New York, NY
| | $0 |
| 07-02449 | 09/22/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Smithson
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward T. Borer, Stephen T. Mayhew, Jack H. McNairy
Hearing Site: Philadelphia, PA
| | |
| 07-02565 | 09/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Kret
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Carmen P. Michelotti, Gary D. Krueger, James A. Murphy
Hearing Site: Chicago, IL
| | |
| 07-03131 | 09/08/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Louis Gaudio
Respondent Lawyers(s): Louis M. Gaudio
Arbitrator(s): Lawrence M. Pitler, Mark Sidell, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
| | |
| 07-02314 | 08/28/2008 | Claimant(s): Susan Key
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers
Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV
Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell
Hearing Site: Houston, TX
| | Stipulated Award and Expungement |
| 07-01428 | 08/21/2008 | Claimant(s): Alberta Murstein, Alberta Sue Murstein Rev. Living Trust
Claimant Lawyers(s): David O. Kreuter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Douglas Appel
Arbitrator(s): M. Eileen Dorsey, Albert J. Haller, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $16,000 |
| 06-05080 | 08/21/2008 | Claimant(s): Voilet Wall, Violet M. Wall Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Citigroup Global Markets., Robert Leverte
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Elliott David Finkel, Gerald C. Tambe, Harris J. Howard
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00456 | 08/14/2008 | Claimant(s): CCO Investment Services Corp
Claimant Lawyers(s): David M. Belcher
Respondent(s): Citigroup Global Markets., Peter Coley
Respondent Lawyers(s): David A. Stein
Arbitrator(s): Richard J. Grahn, Joseph F. Meldon, Andrea J. Goldman
Hearing Site: Boston, MA
| | |
