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