| 24-00565 | 11/26/2024 | Claimant(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
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| 24-01107 | 11/22/2024 | Claimant(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
| | |
| 23-02021 | 11/18/2024 | Claimant(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
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| 23-02566 | 10/14/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s):
Hearing Site: Tampa, FL
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| 23-02671 | 09/25/2024 | Claimant(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
| | |
| 23-02490 | 09/13/2024 | Claimant(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
| | |
| 23-00587 | 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 |
| 23-02486 | 08/19/2024 | Claimant(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
| | |
| 23-02172 | 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 |
| 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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