Form MA-I/A Kaufman, Hall & Associat

June 23, 2021 5:48 PM EDT

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    MA-I/A
    
      
        0001623387
        XXXXXXXX
      
      
        Eric Jordahl
        847-441-8780
      
      ejordahl@kaufmanhall.com
      
        kenmcmanus@alternativereg.com
      
    
  
  
    Y
    N
    
      Eric
      Austin
      Jordahl
    
    N
    1
    
      
        
          
            0001623387
          
          Kaufman, Hall & Associates, LLC
          06-21-2004
          N
        
        
          
            
              10-28-2014
              0001623387
            
          
        
        
          
            LOCATED
            SUPERVISED
            06-21-2004
            
              
                10 S. WACKER DRIVE
                SUITE 3375
                CHICAGO
                IL
                60606
              
            
          
          
            LOCATED
            06-17-2021
          
        
      
    
    
    
      
        06-2004
        Kaufman Hall & Associates, Inc.
        
          CHICAGO
          
            IL
          
          60606
        
        Y
        N
        Managing Director
      
    
    Y
    
      
        01-2016
        Maryland Institute College of Art
        
          1300 West Mount Royal Avenue
          Baltimore
          MD
          21217
        
        N
        N
        College
        Board Member/ Trustee
        2
        Trustee member duties
      
    
    
      
        
          N
          N
          N
          N
        
        N
        N
        N
        N
      
      
        
          N
          N
          N
          N
          N
          N
          N
          N
          N
          N
          N
          N
          N
          N
          N
          N
        
        N
        N
        N
        N
        N
        N
        N
        N
      
      
        N
      
      
        N
        N
        Y
        N
      
      
        N
        Y
        N
        N
        Y
      
      
        N
        N
        N
      
      
        N
        N
        N
        N
      
      
        N
      
    
    
      
        06-23-2021
        Kimberly McManus
        President, Alternative Regulatory Solutions LLC
      
    
    
      
        
          
            
              
            
            Kaufman Hall was retained by Tri-City to provide a narrow scope of work related to structuring and pricing an interest rate swap that would be used to hedge certain auction rate securities to be underwritten by Citi and insured by MBIA. Tri-City sued all parties that worked on any part of its bond transaction, subsequent to the failure of the auction rate securities and the credit deterioration of the municipal bond insurer. Kaufman Hall played no role in the decision-making or issuance of the auction rate securities; accordingly, we reached an agreement with Tri-City that resulted in a dismissal of their complaint.
            
              
            
          
          6H(1)(c)
          
            
              Private Plantiff
            
            
              Tri-City Healthcare District
              Y
            
            
              Citibank, NA; Citigroup Global Markets, Inc.; Charles Plimpton; Chad Keenan; Orrick, Herrington & Sutcliffe, LLP; Foley & Lardner, LLP; MBIA, Inc.; MBIA Insurance Corporation; National Public Finance Guarantee Corporation; Joseph Koreleski; Dan Wilson; Kaufman, Hall & Associates, Inc.; Ellen G. Riley; Eric Jordah; Wilmington Trust Company; Michael A. Wass; Christopher J. Slaybaough
              Y
            
            
              Disgorgement
              Money Damage(s) (Private/Civil Complaint)
            
            
              04-05-2010
              
            
            
              05-05-2010
              
                
                Date process was served on Eric Jordahl - one of named associated persons - assume firm and other associated person served on same day
              
            
            
              State Court
            
            
              
                
                  Superior Court of California
                  30-2010-00359692
                  
                    751 W. Santa Ana Boulevard
                    Santa Ana
                    CA
                    92701
                  
                
                Tri-City Healthcare District, Plaintiff v. Citibank, N.A., New York, a Delaware Corporation, et. al., Defendants
              
              
                
                  Kaufman Hall & Associates, Inc.
                
                
                  Debt - Municipal
                
                Derivative, Swap, Bond Insurance
                Plaintiff issued insured auction rate securities and entered into an associated fixed pay interest rate swap; subsequently alleged that the defendants' advice in connection with the issuance of such securities was in violation of California law.
              
            
            
              Settled
              Dismissed
              The complaint was settled and dismissed with prejudice on September 7, 2011
              
                09-07-2011
                
              
            
          
        
      
      
        
          
            
              
            
            Kaufman Hall was retained by Tri-City to provide a narrow scope of work related to structuring and pricing an interest rate swap that would be used to hedge certain auction rate securities to be underwritten by Citi and insured by MBIA. Tri-City sued all parties that worked on any part of its bond transaction, subsequent to the failure of the auction rate securities and the credit deterioration of the municipal bond insurer. Kaufman Hall played no role in the decision-making or issuance of the auction rate securities; accordingly, we reached an agreement with Tri-City that resulted in a dismissal of their complaint.
            
              
            
          
          6I(1)(b)
          6I(2)(c)
          
            
              
                Y
              
            
            Tri-City Healthcare District
            CA
            
              
                Kaufman Hall & Associates, Inc.
              
              
                Insurance
                Debt - Government
                Swap
                Derivative(s)
              
              In January 2007 Kaufman Hall was retained by Tri-City Medical Center to provide a narrow scope of services related to pricing an interest rate swap that would be associated with certain to be issued insured auction rate securities. The auction rate securities were issued in 2007; in 2008 the auction rate market collapsed as did the rating of the bond insurer. In 2010 Tri-City sued all parties that were part of the issuance of the insured auction rate securities, alleging violations of California law; despite not being involved in either of these steps in the transaction process, Kaufman Hall and two associated persons - Eric Jordahl and Ellen Riley - were named in the suit.
            
            
              1000000.00
              
                
                The specific complaint suggested damages of several million dollars but did not establish a specific dollar amount.
              
            
            
              
                State Court
              
              
                
                  
                    Superior Court of California
                    30-2010-00359692
                    
                      751 W. Santa Ana Boulevard
                      Santa Ana
                      CA
                      92701
                    
                  
                  Tri-City Healthcare District, Plaintiff v. Citibank, N.A., New York, a Delaward Corporation, et. al., Defendants
                
                
                  05-05-2010
                  
                    
                    Date process was served on Eric Jordahl - one of the named associated persons - assume firm and other associated person served on same day
                  
                
              
            
            
              Settlement that includes a monetary payment to customer
              
                
                  09-07-2011
                  
                
              
            
            
              
                136026.00
              
            
          
        
      
    
  





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