| 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 |
| 19-02073 | 01/13/2020 | Claimant(s): Paul Campbell
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 19-00035 | 10/24/2019 | Claimant(s): Francesco Traina
Claimant Lawyers(s): Michelle M. Atlas
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 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 |
| 19-00146 | 09/09/2019 | Claimant(s): Michael Rhodes
Claimant Lawyers(s): Michael Bessette
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 19-00079 | 08/08/2019 | Claimant(s): Robert Conzo
Claimant Lawyers(s): Polina M. Dostalik
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Craig Vollono
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 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 |
| 17-03156 | 10/26/2018 | Claimant(s): Jason Sanders
Claimant Lawyers(s): Adam Kauff
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 16-03575 | 08/16/2018 | Claimant(s): Cheryl Frank, Jonathan Frank
Claimant Lawyers(s): Jonathan Alan Frank
Respondent(s): Morgan Stanley, Mark Milligan
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Elliot B. Platt, Doris J. Dabrowski, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | Expungement |
