| 07-00489 | 03/27/2008 | Claimant(s): Patricia Pearson
Claimant Lawyers(s): Patricia Ann Pearson
Respondent(s): Barbara Ahern, Citigroup Global Markets., Michael Passeroff, William Dodge
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
|  | $18,000 |
| 97-00418 | 03/27/2008 | Claimant(s): Howard Kabrins
Claimant Lawyers(s): Howdy Kabrins
Respondent(s): Citigroup Global Markets., Richard Goldstein
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Roberta Haft, Clyde Kenan Oldham
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02138 | 03/26/2008 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Glenn Dzidowski
Respondent Lawyers(s): Glenn Dzidowski
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | $0 |
| 06-04197 | 03/26/2008 | Claimant(s): Elizabeth Schaper, POA for Armin and E
Claimant Lawyers(s): Jeffrey I. Carton
Respondent(s): Citigroup Global Markets., James Ducey, Patricia McGinley
Respondent Lawyers(s): Douglas B. Appel, Edward Turan
Arbitrator(s):
Hearing Site: New York, NY
| | $11,630 |
| 06-04256 | 03/26/2008 | Claimant(s): Elizabeth Schaper, Exec for Armin & Ethe
Claimant Lawyers(s): Jeffrey I Carton
Respondent(s): Citigroup Global Markets., James Ducey, Patricia McGinley, Renuka Nayar
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Andrew H. Freund, Francis Carling, Howard A. Baker
Hearing Site: New York, NY
| | $11,630 |
| 07-01583 | 03/26/2008 | Claimant(s): Harold F. Davis, IRA, Davis Family Trust
Claimant Lawyers(s): Harold F. Davis
Respondent(s): Hayes Burleson, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lynne T. Albert, Landrum H. Henderson, James F. Major
Hearing Site: Charlotte, NC
| | $87,600 |
| 06-02054 | 03/25/2008 | Claimant(s): Amy Feng
Claimant Lawyers(s): Thomas E. Duckworth
Respondent(s): JMP Securities LLC
Respondent Lawyers(s): David P. Borovsky & Howard Garfield
Arbitrator(s): William W. Haskell, Gail Killefer, Steven K. McGinnis
Hearing Site: San Francisco, CA
| | |
| 06-04423 | 03/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Simmers
Respondent Lawyers(s): David A. Sebastian
Arbitrator(s): Peter B. Kupelian, Gary C. Peters, Ann D. Kuhna
Hearing Site: Detroit, MI
| | |
| 06-04852 | 03/25/2008 | Claimant(s): Capitola Sommer
Claimant Lawyers(s): Richard J. Papst
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph B. Adams
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Jerry Ellner
Hearing Site: Los Angeles, CA
| | |
| 07-02723 | 03/25/2008 | Claimant(s): Maria Monteagudo
Claimant Lawyers(s): Maria Delia Monteagudo
Respondent(s): Craig Gould, Wunderlich Securities
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cleveland, OH
| | $9,000 |
