| 23-01113 | 08/20/2024 | Claimant(s): Brett Wilzbach
Claimant Lawyers(s): Anthony Conte
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Andrea J. Goldman, Carol Ellen Carson, Timothy N. Souris
Hearing Site: Boston, MA
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| 23-02972 | 08/09/2024 | Claimant(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
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| 23-02475 | 08/06/2024 | Claimant(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
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| 23-02764 | 05/08/2024 | Claimant(s): Robert Manning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Trae D. Meyr
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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| 23-01380 | 02/07/2024 | Claimant(s): Douglas Frizzell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
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| 23-01417 | 11/21/2023 | Claimant(s): Charles Natt
Claimant Lawyers(s): Adam Kauff
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alexandros Diplas
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 23-00389 | 10/06/2023 | Claimant(s): Scott Rose
Claimant Lawyers(s): William Bean
Respondent(s): Citigroup Global Markets., J.P. Morgan Securities
Respondent Lawyers(s): Adam Kauff, Thomas J. Cahill
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: New York, NY
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| 23-00160 | 10/04/2023 | Claimant(s): Paul Siegel
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
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| 23-00184 | 09/14/2023 | Claimant(s): Todd Smith
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Rochelle Mayfield
Arbitrator(s): Michael J Norton
Hearing Site: Albuquerque, NM
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| 23-00121 | 09/01/2023 | Claimant(s): James Small
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Royetta M. Jones, Walter Steven Schwartz, Nancy Lynn Boyd
Hearing Site: Las Vegas, NV
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