| 23-00587 | 09/13/2024 | Claimant(s): Carol Parks
Claimant Lawyers(s): Jason Doss
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon M. Wase, Armand Philip Lione, Julius P. Terrell
Hearing Site: Washington, DC
|  | Expungement |
| 23-01501 | 06/10/2024 | Claimant(s): Robert Bass
Claimant Lawyers(s): Edison F. Baldwin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Langfred W. White, Richard K. Smith, Alan Daniel Hall
Hearing Site: Nashville, TN
| | $0 |
| 22-00526 | 03/13/2024 | Claimant(s): Patrick Troy, Patrick J. Troy Living Trust
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Brad Goldberg, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Leonard Arthur Nelson, Yana Karnaukhov, Takia D Washington
Hearing Site: Chicago, IL
| | $1 |
| 22-02014 | 04/24/2023 | Claimant(s): Delice Roberson
Claimant Lawyers(s): Delice A. Roberson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | Dismissed by Rule 12206 |
| 22-00982 | 03/02/2023 | Claimant(s): Pasquale Mucerino
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | Expungement |
| 20-00007 | 03/05/2021 | Claimant(s): Ruth Hallett
Claimant Lawyers(s): Ruth Hallett
Respondent(s): Martin Moy, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | $0 |
| 13-03704 | 03/10/2020 | Claimant(s): Elana Deutsch, Elie Deutsch, Alan Deutsch A/C/F for Ayelethashacha, Alan Deutsch A/C/F for Natanel Deutsch, Alan Deutsch A/C/F for Zecharia Deutsch, Sonja G. Deutsch Irrevocable Trust
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): James Ducey, Stuart Alter, Morgan Stanley Smith Barney LLC
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Julian F. Santos, Joan M. Traub, Daniel F. Morrissey
Hearing Site: New York, NY
| | Dismissed |
| 18-03754 | 02/19/2020 | Claimant(s): David and Linda Watts JTWROS
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Brian Wurdemann, Morgan Stanley, UBS Financial Services Inc.
Respondent Lawyers(s): Adam Kauff, Anthony J. Borrelli, Brian M. Wurdemann
Arbitrator(s): Philip Levine, Catherine Stewart, Bryan David Glass
Hearing Site: Newark, NJ
| | $175,000 |
| 18-03770 | 09/24/2019 | Claimant(s): Bella Verkhovsky
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Brian Sodol, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
| | $0 |
| 17-03198 | 06/07/2019 | Claimant(s): Carol Connell, Michael Connell, Eugene P. Connell Irrevocable Ins Trust
Claimant Lawyers(s): Kim Lauren Michael
Respondent(s): Ardell Roan, Barry Connell, Denise Kelly, Morgan Stanley & Co., George Batelli, Ginny Piscatay, Jeffrey Crystal, Jennifer Salmon, Richard Less
Respondent Lawyers(s): Adam Kauff, Barry Franklin Connell, Corey Hohnbaum, Ginny Piscatay
Arbitrator(s): Charles L. Prothero, Joan M. Traub, Sam Antar
Hearing Site: New York, NY
| | Expungement |
