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FINRA Awards for Citigroup Global Markets.

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Displaying 10 out of 422 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0056511/26/2024Claimant(s): J Mckelvy
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Jeffrey P. Palmer
Arbitrator(s): Richard H. Potter, Thomas R. Dreiling, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
24-0110711/22/2024Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin MacAvoy
Respondent(s): Jared Dulski
Respondent Lawyers(s): Jared Dulski
Arbitrator(s): William E. Nuckel, Mitchell Regenbogen, Michael McDermott
Hearing Site: New York, NY
23-0202111/18/2024Claimant(s): Nicolas Smoller
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas A. Linthorst
Arbitrator(s): Steven Gary Leventhal, John Warner Lowe, Daniel Louis Cevallos
Hearing Site: New York, NY
23-0256610/14/2024Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s):
Hearing Site: Tampa, FL
23-0267109/25/2024Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Nicholas John Taldone, Shanida De Gracia, John Arthur Riherd
Hearing Site: Tampa, FL
23-0249009/13/2024Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Jerrold E. Slutzky, Kenneth R. Starr, Carolyn E. Moore
Hearing Site: Tampa, FL
23-0248608/19/2024Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Nicholas John Taldone, Gayle B. Carlson, Shannon Nicole Boyd
Hearing Site: Tampa, FL
23-0297208/09/2024Claimant(s): Keith Patterson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Securities America., Investacorp Inc.
Respondent Lawyers(s): Adam Kauff, Jennifer R. Cox
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
23-0247508/06/2024Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Thomas J. Patka, Marilyn K. Dirks, John Alan Hawke
Hearing Site: Tampa, FL
23-0289607/18/2024Claimant(s): Thomas Charmley
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA

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