| 11-02923 | 08/02/2012 | Claimant(s): Barbara Hasting, David O'Harrow, Dennis Sager, Jozef Alena, Kim Sager, Marvin Hasting, Velma Byers, Living Trust U/A/D 10/14/91 FBO Marvin D
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Ingrid Gintz, Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Jack M. Lovejoy
Arbitrator(s): Thomas D. Cochran, William P. Bergsten, Michael R.E. Sanders
Hearing Site: Seattle, WA
|  | $600 |
| 10-02897 | 06/29/2012 | Claimant(s): Gerald Grossman
Claimant Lawyers(s): Loretta Gastwirth
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Kinchen C. Bizzell, William E. Nuckel, Paul S. Biederman
Hearing Site: New York, NY
| | $0 |
| 10-03335 | 05/31/2012 | Claimant(s): Lionel Winograd
Claimant Lawyers(s): Lionel Winograd
Respondent(s): David Powers, Citigroup Global Markets., Lisa Brandes
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sheldon M. Finkelstein, Donald C. Geiszler, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 10-02777 | 05/23/2012 | Claimant(s): Marilyn Szymkiw-Schrieber, Michael Schreiber, The Schrieiber Living Trust DTD 12/1/06
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Timothy J. Currier, Jacqueline R. Fox, Gregory M. Gendron
Hearing Site: Detroit, MI
| | $237,597 |
| 10-03910 | 04/20/2012 | Claimant(s): Dawn Fragala
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sandra J. Mullings, Sandra Gale Behrle, Jonathan L. Goldfarb
Hearing Site: New York, NY
| | Expungement |
| 10-04202 | 03/21/2012 | Claimant(s): Karen Papasergiou, Serge Papasergiou
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Alfred H. Kingon, Daniel A. Dolan, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 09-05539 | 11/18/2011 | Claimant(s): Cindy Bridges-Ross
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Alison Konop, David Tuebner, Citigroup Global Markets., Iwona Legge
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Nicholas J. Caputo, James N. D'Orso, Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 10-01534 | 11/07/2011 | Claimant(s): Connie Janousek
Claimant Lawyers(s): Richard L. Bolton
Respondent(s): Christopher Ayer, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): P. J. Boylan, Roy Clyde George, Gary L. Grolle
Hearing Site: Milwaukee, WI
| | $36,775 |
| 10-02950 | 11/01/2011 | Claimant(s): Richard Guido
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Dora M. Lassinger, Ernesto V. Luzzatto, David Jeremy Mattana
Hearing Site: New York, NY
| | Expungement |
