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FINRA Awards for Adam Kauff

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Displaying 11-20 out of 103 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0141711/21/2023Claimant(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
23-0038910/06/2023Claimant(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
23-0016010/04/2023Claimant(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
23-0018409/14/2023Claimant(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
23-0012109/01/2023Claimant(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
22-0285208/18/2023Claimant(s): Stephen Hekimian
Claimant Lawyers(s): Harris Freedman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
22-0291508/11/2023Claimant(s): Joshua Lercher
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
23-0042808/04/2023Claimant(s): David Bower, Russell Cooper
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
22-0250806/16/2023Claimant(s): Anouchka Balog
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
22-0098006/05/2023Claimant(s): Jeffrey Gerson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Alexander Schwed
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY

103 Results

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