| 12-00291 | 12/19/2013 | Claimant(s): Anita Apt, Estate of Nellie Apt, The Nellie Apt Revocable Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Shelley Teitelbaum, Peter A. Goldman, Nancy Kramer
Hearing Site: New York, NY
|  | Expungement |
| 11-02181 | 10/11/2012 | Claimant(s): Frank Mazer, Samuel Elliot Pendelton Mazer, Cus & Tru, Frank B. Mazer Foundation, by Frank Maze
Claimant Lawyers(s): Gaytri Kachroo
Respondent(s): UBS Financial Services Inc., Michael Collins
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): John A. Morin, Kevin J Mulrey, Brian J. Dunn
Hearing Site: Boston, MA
| | $0 |
| 11-01674 | 07/30/2012 | Claimant(s): Sidney Steinberg
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Harold S. Stern, Steven E. Eisenberg, Mark J. McCarthy
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-00860 | 11/17/2011 | Claimant(s): Christopher Puglisi
Claimant Lawyers(s): Phil Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Edith M. Novack, Margaret Leggett Tarver, Neal D. Baker
Hearing Site: Newark, NJ
| | $707,134 |
| 09-06760 | 04/07/2011 | Claimant(s): Hathaway Family Holdings, LLP, David S.
Claimant Lawyers(s): John Flanders Kennedy
Respondent(s): Dearing Stone, Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff, R Hal Meeks
Arbitrator(s): Robert N. Leitch, Susan S. Bentley, Gary J. Leshaw
Hearing Site: Atlanta, GA
| | Expungement |
| 09-00482 | 05/24/2010 | Claimant(s): Joseph M. Fischer Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Barry Goldman, Richard C. Vanden Brul, Seth H. Barsky
Hearing Site: Detroit, MI
| | $0 |
| 09-02843 | 04/27/2010 | Claimant(s): Ettore Stratta, Patricia Stratta
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Andrew Wolff, Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $67,114 |
| 09-00592 | 07/23/2009 | Claimant(s): Shamshudin L. and Zarina S. Lalji
Claimant Lawyers(s): Shamshudin Ladha Lalji
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03736 | 07/21/2009 | Claimant(s): Natasha Shliapnikoff, Rodion Nahapetov
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Carolyn V. Quadt
Hearing Site: Los Angeles, CA
| | $3,000 |
| 08-02543 | 06/23/2009 | Claimant(s): David R. Smith Revocable Trust
Claimant Lawyers(s): Peter H. Love
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Frederick Michael Switzer, John Bruce Witwer, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO
| | $0 |
