| 09-03682 | 10/15/2010 | Claimant(s): James Vogel
Claimant Lawyers(s): Thomas H. Tucker
Respondent(s): Citigroup Global Markets., Peter Dolan, Troy Rothmann
Respondent Lawyers(s): Peter C Dolan, William A. Hohauser
Arbitrator(s): Morris J. Levin, Marilyn H. Zuckerman, John Joseph Cotter
Hearing Site: Boston, MA
|  | $30,000 |
| 09-03251 | 10/06/2010 | Claimant(s): Larry Hagman, Larry Hagman IRA CGM IRA Custodian, Larry Hagman Rollover IRA CGM, Larry Hagman & Maj I. Hagman Rev Trust, The Hagman Insurance Trust UAD 03/21/06
Claimant Lawyers(s): Philip Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Michael W. Delaney, Kenneth E. Kreh, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $11,118,800 |
| 09-00294 | 08/06/2010 | Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 08-04668 | 05/21/2010 | Claimant(s): Eilenn G. Akers and Gregory R. Akers
Claimant Lawyers(s): Jeffrey Helmann
Respondent(s): Citigroup Global Markets., Jonathan Elyachar
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Henry Tiffany, Stanley H. Labinger, B. John Dill
Hearing Site: Hartford, CT
| | $0 |
| 09-01066 | 05/07/2010 | Claimant(s): Peabody House Company Partnership
Claimant Lawyers(s): Kevin S. Murphy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Gerard S. Marsan, June Y. Kilmarx, Pran N. Tiku
Hearing Site: Boston, MA
| | $0 |
| 07-00945 | 10/15/2009 | Claimant(s): Leslie Cox-Colon
Claimant Lawyers(s): Gary Klein
Respondent(s): Citigroup Global Markets., Juan Colon-Collazo, Loretta Chiofolo
Respondent Lawyers(s): Edward N. Lerner, William A. Hohauser
Arbitrator(s): Edward G. Toptani, Charles L. Henderson, Laurence D. Rose
Hearing Site: New York, NY
| | $273,717 |
| 08-03841 | 10/09/2009 | Claimant(s): Shannon L. Nichols Trust
Claimant Lawyers(s): Jan Graham
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood, William A. Hohauser
Arbitrator(s): Ross W. Cannon, Kevin D. Swenson, Janet M. Thompson
Hearing Site: Salt Lake City, UT
| | $296,890 |
| 08-02270 | 02/03/2009 | Claimant(s): Avalon Partners.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Brendan Gillespie
Respondent Lawyers(s): Brendan Thomas Gillespie
Arbitrator(s): William A. Hohauser
Hearing Site: New York, NY
| | |
| 07-02941 | 12/05/2008 | Claimant(s): Basil Marryshow, Basil A. Marryshow, IRA, Profit Sharing Plan
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): John H. Ewing, Michael R. Stabile, Walter J. Blenko
Hearing Site: Pittsburgh, PA
| | $0 |
| 07-01135 | 09/23/2008 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Arthur Ogbogu
Respondent Lawyers(s): Arthur Ogbogu
Arbitrator(s): Richard W Berenger, Joseph C. Pickard, William A. Hohauser
Hearing Site: New York, NY
| | |
