| 21-01912 | 03/28/2022 | Claimant(s): Julie Johnson
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, John Murphy
Arbitrator(s): Philip J. Glick, Michael Jeffrey Norton, Gregory M. Scanlon
Hearing Site: Denver, CO
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| 21-00702 | 11/03/2021 | Claimant(s): Anibal Drelichman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oppenheimer & Co.., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Nicola Anne Murphy
Arbitrator(s): Michael James Malone
Hearing Site: Washington, DC
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| 21-00306 | 10/25/2021 | Claimant(s): Sofia Ward
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 21-00530 | 09/23/2021 | Claimant(s): Wen Wu
Claimant Lawyers(s): Zachary T. Hayes- Macaluso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 21-00572 | 08/09/2021 | Claimant(s): Joel Konigsberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 20-02730 | 07/07/2021 | Claimant(s): Everest Wong
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
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| 20-03001 | 05/21/2021 | Claimant(s): Patrick Giblin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 20-03194 | 04/29/2021 | Claimant(s): Charles Miller
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff, Demian J. Betz, Kathryn D. Perreault
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
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| 20-02894 | 04/28/2021 | Claimant(s): Grant Johnstone
Claimant Lawyers(s): John T. Carr
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Charles Scott McClellan
Hearing Site: Portland, OR
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| 20-02413 | 03/25/2021 | Claimant(s): Peter McColgan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
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