Kauff Laton Miller LLP

Adam M. Kauff Partner

212-906-3441 akauff@klmllp.com vcard

Adam is an accomplished trial attorney whose primary areas of practice include representing institutions and individuals in the securities industry in connection with litigation or regulatory proceedings. Adam represents clients before FINRA, NFA, NY State Department of Financial Services as well as in various courts and in connection with white collar criminal investigations. Adam also acts as a FINRA arbitrator and mediator.

Prior to co-founding KLM LLP, Adam was an Executive Director at Morgan Stanley and a Director at Citigroup in their legal and compliance divisions. While at Citigroup and Morgan Stanley, Adam represented the firms and their employees in hundreds of FINRA arbitrations and numerous matters pending before various regulatory bodies.

During his years in the securities industry, Adam directed firm-wide large-scale investigations involving a variety of issues including: sales practice, wire fraud and marketing alternative investments. Adam provided advice on a range of matters including operational functions, licensing issues, selling of alternative and structured products, and surveillance of the outside activities of registered representatives. In addition to claims involving fraud, misrepresentation and general sales practice violations, Adam handled complex claims relating to options, hedging strategies, structured products and a variety of alternative investments.

Adam began his legal career as a prosecutor in the Manhattan District Attorney's Office in 1999. After working in the trial division, he joined the Rackets Bureau where he investigated and prosecuted a variety of white-collar crime. As a prosecutor, he tried over 40 cases to verdict.

Adam is a member of the New York City Bar and of the American Bar Association and has served on a number of committees within both organizations. Adam has lectured on securities arbitration at the New York State Bar Association, and on cross examination, and trial advocacy at the Manhattan District Attorney's Office.

Some of Adam’s representative cases include:

Adam Kauff, Partner, Kauff Laton Miller LLP


Northeastern Law School
JD 1999

Macalester College
BA 1994

Bar Admissions:

New York

Southern District of New York

950 Third Avenue Floor 15 New York, NY 10022 212-906-3444 email