| 12-01398 | 11/13/2013 | Claimant(s): Janet M. Di Palma
Claimant Lawyers(s): Carlos A. Di Palma
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Sheldon M. Finkelstein, Edith M. Novack, Miriam Lefkowitz
Hearing Site: Newark, NJ
|  | Expungement |
| 10-03335 | 05/31/2012 | Claimant(s): Lionel Winograd
Claimant Lawyers(s): Lionel Winograd
Respondent(s): David Powers, Citigroup Global Markets., Lisa Brandes
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sheldon M. Finkelstein, Donald C. Geiszler, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 09-03065 | 01/26/2012 | Claimant(s): Joseph Yurman, Murphy Family Trust
Claimant Lawyers(s): Lawrence A. Steckman
Respondent(s): Citigroup Global Markets., Reaz Islam, Citigroup Alternative Investments LLC, Citigroup Fixed Income Alternatives, Citigroup., Mat Five LLC Fund, Municipal Opportunity Fund Five LLC
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Craig Scott Bartlett, Sheldon M. Finkelstein, Kinchen C. Bizzell
Hearing Site: New York, NY
| | $950,000 |
| 06-03226 | 11/15/2007 | Claimant(s): Alisa Gabriel
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): John Arena, Fidelity Brokerage Services LLC, Fidelity Investment Co., Fidelity Service Company., Strategic Advisors.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Sheldon M. Finkelstein, C. Anthony Bell, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $0 |
| 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
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