| 06-00120 | 11/12/2007 | Claimant(s): Timothy Cappadona
Claimant Lawyers(s): Samuel L. Davis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Sheldon M. Finkelstein, Jeffrey Alan Helewitz, Dwight Wassong
Hearing Site: Newark, NJ
| | |
| 06-04112 | 11/12/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Bret Swisher
Respondent Lawyers(s): Bret A. Swisher
Arbitrator(s): James A. Melfi, John B. Glueckert, Marc E. Henn
Hearing Site: Columbus, OH
| | |
| 07-02051 | 11/09/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Econotek
Respondent Lawyers(s): President or Compliance Officer
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
|  | $0 |
| 07-00312 | 11/09/2007 | Claimant(s): The Estate of George Mallouk
Claimant Lawyers(s): John T. McNamara
Respondent(s): Citigroup Global Markets., Otto Betz III
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Pamela H. Roderick, Bernard Korman, Bruce Alan Whiteford
Hearing Site: New York, NY
| | $20,000 |
| 06-03794 | 11/02/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): David Mulford
Respondent Lawyers(s): Charles M. Dalziel
Arbitrator(s): A. Keith Logue, Sabrina Raquel Scott, Connie E. Balliet
Hearing Site: Atlanta, GA
| | |
| 07-01038 | 11/02/2007 | Claimant(s): Joe Stringer
Claimant Lawyers(s): Joe Robert Stringer
Respondent(s): J.P. Morgan Securities., Citigroup Global Markets., Mellon Securities LLC
Respondent Lawyers(s): Alejandro Schwed, Anthony J. Galioto, Bradley J. Johnson
Arbitrator(s): William E. Hartsfield, Cheryl Jerome Moore, Joseph A. Vicario
Hearing Site: Dallas, TX
| | $0 |
| 06-02459 | 10/30/2007 | Claimant(s): Susan Beesmyer, Beesmyer Family Trust Agreement 10/96
Claimant Lawyers(s): J. Emery Barker
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Charles W. Herf, Allan Levey, Merton E. Marks
Hearing Site: Phoenix, AZ
| | $25,000 |
| 06-04998 | 10/24/2007 | Claimant(s): Richard Streisfeld
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Ross, Sherri L. Hughes, Lawrence J. Roth
Hearing Site: New York, NY
| | |
| 07-00039 | 10/24/2007 | Claimant(s): Mary Patnik
Claimant Lawyers(s): Leonard W. Yelsky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michael A. Ungar
Arbitrator(s): Richard R. Edmister, Mark L. Ferris, Gary B. Deutsch
Hearing Site: Cleveland, OH
| | $0 |
| 06-05292 | 10/18/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kennth O'Connor
Respondent(s): Eric Nelson
Respondent Lawyers(s): Eric A. Nelson
Arbitrator(s): John F. Poole, Thomas L. Kennedy, John Manning Herr
Hearing Site: Boston, MA
| | |
