FINRA Awards for Adam M. Kauff

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-02156	02/07/2022	Claimant(s): Michele Misiti Claimant Lawyers(s): Scott Holcomb Respondent(s): Alexander Capital, L.P. Respondent Lawyers(s): Rocco Guidicipietro Arbitrator(s): Madelon M. Rosenfeld, Mary Julia O'Connell, Adam M. Kauff Hearing Site: New York, NY
10-05583	02/23/2016	Claimant(s): John Delaney Claimant Lawyers(s): Jonathan Honig Respondent(s): Banc of America Securities LLC Respondent Lawyers(s): Patrick J. Lamparello Arbitrator(s): Karen Isabel Bedrosian - Richardson, Toby Susan DeSimone, Adam M. Kauff Hearing Site: New York, NY
11-04091	03/01/2013	Claimant(s): Brian Redican, Bryan Glass, Jordon Havens Claimant Lawyers(s): Faryan Andrew Afifi Respondent(s): TD Ameritrade. Respondent Lawyers(s): David Richan Arbitrator(s): Harold I. Geringer, Adam M. Kauff Hearing Site: New York, NY
11-00581	02/12/2013	Claimant(s): Thomas Lynch Claimant Lawyers(s): Carmelyn Malalis Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Kenneth J. Turnbull Arbitrator(s): Charles P. Axelrod, John Daly, Adam M. Kauff Hearing Site: New York, NY
10-01554	12/14/2011	Claimant(s): Robert Lipka Claimant Lawyers(s): Howard S. Meyers Respondent(s): Katherine Alcorn, Raymond James Financial Services. Respondent Lawyers(s): David A. Gehn, Glenn A. Duhl Arbitrator(s): Paul Weinberg, Bernard Korman, Adam M. Kauff Hearing Site: New York, NY