Arbitration Details

CITIGROUP GLOBAL MARKETS INC NFA ID: 0002026

An NFA Arbitration claim is a futures or forex related dispute involving a customer and an NFA Member (or employee) or Associate. It is not a regulatory action.
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 Case Summary 
 Case No.FiledDecision DateProduct
 95ARB0005203/23/199510/26/1995Futures (Foreign Exchange)
 Summary of Parties 
 CustomersMembersRepresentatives
•  BROOKVILLE MULTI-SECTOR FUND, L.P.•  CITIGROUP GLOBAL MARKETS INC• STEPHEN GOLDSTEIN
• ELLEN SLIPP
 Proceeding Details 
 Panel TypeNumber of ArbitratorsProceeding TypeLocation (State)
 NON-MEMBER1SUMMARYDC
 Summary of Awards and Claims 
 Type Claim Amount Counter Claim 3rd Party Claim Cross Claim
 
Compensatory
Punitive
Treble
Interest
Attorney Fees
Costs
 Claim Award
$2,096.00$1,450.00
$0.00$0.00
$0.00$0.00
NA$0.00
NA$0.00
NA$100.00
 Claim Award
$0.00$0.00
$0.00$0.00
$0.00$0.00
NA$0.00
NA$0.00
NA$0.00
 Claim Award
$0.00$0.00
$0.00$0.00
$0.00$0.00
NA$0.00
NA$0.00
NA$0.00
 Claim Award
$0.00$0.00
$0.00$0.00
$0.00$0.00
NA$0.00
NA$0.00
NA$0.00
 Summary of Issues 
FAILURE TO EXECUTE, FAILURE TO MITIGATE DAMAGES, RATIFICATION, ESTOPPEL AND LACHES.

RESPONDENT SMITH BARNEY, INC. SHALL PAY TO CUSTOMER CLAIMANT $1,450.00 PLUS ARBITRATION FEES OF $100.00 AND INTEREST. INTEREST IS TO BE CALCULATED AT 8% PER ANNUM ON $1,450.00 FROM SEPTEMBER 6, 1994 UNTIL THE AWARD IS PAID.