| 10-03961 | 07/05/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Daniel Kammerer, Citigroup Global Markets., Citigroup Global Markets Holdings.
Respondent Lawyers(s): Erin E. Mac Avoy, Krista L. Tushar
Arbitrator(s): Howard R. Gaines, Gregory D. Thomas, Patricia Mary Vondra
Hearing Site: Denver, CO
| | |
| 09-03297 | 04/11/2011 | Claimant(s): Gerald Hosier, Jerry Jr., Brush Creek Capital LLC, Gerald D. Hosier UAD 10/04/99
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Malcolm T. Cleland, Marc H. Schtul, Patricia Mary Vondra
Hearing Site: Denver, CO
|  | $54,106,000 |
| 07-03012 | 07/13/2009 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): Roger May
Respondent Lawyers(s): Thomas D. Birge
Arbitrator(s): Arthur E. Otten, Mary C. Davis, Patricia Mary Vondra
Hearing Site: Denver, CO
| | |
| 08-01231 | 04/30/2009 | Claimant(s): James O'Rorke
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Charles Schwab & Co.., Mark Haenny
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): Thaddeus J. Tecza, Marilyn R. Lewis, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $33,124 |
| 07-01450 | 03/23/2009 | Claimant(s): Joan Rockouski, Duane and Shirley A. Sanders
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Dennis Marlow
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Billy Kwan, David Butler, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $60,000 |
