| 23-02172 | 08/19/2024 | Claimant(s): Neil Engel
Claimant Lawyers(s): Lars Soreide
Respondent(s): Citigroup Global Markets., Thomas Tibaldi
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
|  | Expungement |
| 21-00507 | 04/14/2022 | Claimant(s): Katie Klein, Estate of Roy S. Dale, Dale & Klein Partnership, K&R Family Limited Partnership
Claimant Lawyers(s): William Mount
Respondent(s): Morgan Stanley, J. Bryan Reece, Citigroup Global Markets.
Respondent Lawyers(s): Abigail D. Elrod, Adam M. Kauff
Arbitrator(s): David C. Redford, Stephanie E. Simmons, Cynthia Ann Kittle
Hearing Site: Houston, TX
| | Expungement |
| 18-03696 | 09/20/2021 | Claimant(s): Jay Fagan, Sandra Fagan
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Howard J. Stiefel, Francis Carling, Richard Lee Mansdoerfer
Hearing Site: New York, NY
| | Expungement |
| 19-02913 | 12/16/2020 | Claimant(s): Maria Redwine
Claimant Lawyers(s): William B. Fleming
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Langfred W. White, Karl A. Vogeler, John Winslow Griesser
Hearing Site: Columbia, SC
| | $167,294 |
| 19-00244 | 07/07/2020 | Claimant(s): Eldar Brodski Zardinvsky, Ester Brodski, Ruben Brodski, Yehonathan Brodski, Eb Books, Eb Design, Eb Imports, Eb Online, Eldar Brodski Inc., Lazdar, Ruben Brodski., Valley West Realty., Y Capital Advisors
Claimant Lawyers(s): David B Gordon
Respondent(s): Citigroup Global Markets., Canaccord Genuity LLC, Citadel Securities LLC, Citi Order Routing And Execution, G1 Execution Services, Virtu Americas LLC
Respondent Lawyers(s): Adam M. Kauff, John A. Vassallo, Joshua D. Liston, Michael V. Rella, Nicholas M. Gross
Arbitrator(s): Joseph C. Watson, James Warnick Coupe, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00020 | 05/22/2018 | Claimant(s): Adam Goldstein, Jared Goldstein, Robert Goldstein, Estate of Herbert J. Goldstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley, Eugene Desoiza
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Carl Shechter, Edward R. Niederriter, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | $36,984 |
| 16-02710 | 01/19/2018 | Claimant(s): Marcus Nagel, Matthew Nagel
Claimant Lawyers(s): Marcus Nagel
Respondent(s): David Warren, Citigroup Global Markets., UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam M. Kauff, Andrew W. Sidman, Denver G. Edwards
Arbitrator(s): Steven Gourley, Howard A. Emirhanian, George Herman Frisch
Hearing Site: Los Angeles, CA
| | Dismissed by Rule (12200/12201) |
| 16-00079 | 08/10/2017 | Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 07-02774 | 04/16/2010 | Claimant(s): Eugenia Jones
Claimant Lawyers(s): Eugenia Jones
Respondent(s): Dennis Cavender, William Hudson
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Richard V. McGalliard, Sabrina Raquel Scott, Joan Connolly Grafstein
Hearing Site: Atlanta, GA
| | $0 |
| 08-00602 | 10/13/2009 | Claimant(s): Alvin Reiter Living Trust by Alvin Reite, Alvin Reiter MD Inc. DBT by Alvin Reiter
Claimant Lawyers(s): William F. Davis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Martin Mandel, Audrey H. Ruben, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $0 |
