| 23-02871 | 10/23/2024 | Claimant(s): Andrew Stout
Claimant Lawyers(s): Peter Lindholm
Respondent(s): WAMU Investments., UBS Financial Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kaufforate Officer, John Murphy
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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| 23-00710 | 02/02/2024 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Denise L. Quarles, Eila Matt, Peter E. Gillespie
Hearing Site: New York, NY
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| 21-02124 | 04/25/2022 | Claimant(s): Mearu Takatsu
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Investments, TD Ameritrade., Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff, Bryce Cullinane, Valerie Holder
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 20-03071 | 11/10/2021 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-02654 | 08/06/2021 | Claimant(s): Margaret Rivera
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 20-02730 | 07/07/2021 | Claimant(s): Everest Wong
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
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| 20-03194 | 04/29/2021 | Claimant(s): Charles Miller
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff, Demian J. Betz, Kathryn D. Perreault
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
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| 18-00278 | 10/16/2018 | Claimant(s): Christopher Faggioni
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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| 17-00933 | 01/09/2018 | Claimant(s): Suzanne Nitzberg
Claimant Lawyers(s): Suzanne Hillary Nitzberg
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
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| 11-02933 | 12/27/2012 | Claimant(s): Andrew Kontos and Kathy Kontos
Claimant Lawyers(s): Andrew Kontos
Respondent(s): David Noble, Lynn Kidd, Citicorp Investment Services
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Elena G. Rodriguez, Daniel Joseph Chiodo, Mark A Bilawsky
Hearing Site: Boca Raton, FL
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