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FINRA Awards for Oppenheimer & Co..

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Displaying 141-150 out of 199 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0288401/10/2012Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Martin Zalin
Respondent Lawyers(s): Martin Harris Zalin
Arbitrator(s): C. Sidney Lester
Hearing Site: New York, NY
09-0533512/13/2011Claimant(s): Nicholas Stefanis
Claimant Lawyers(s): James R. Hubbard
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Chandler R Bridges, George S. Willingham, Michael J. Ahlstrom
Hearing Site: Atlanta, GA
10-0554212/01/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Loretta M. Gastwirth
Respondent(s): Fred Johnson
Respondent Lawyers(s): Fred Johnson
Arbitrator(s): Charles Kleinbaum, Denise N. Seegobin, David A. Schwarz
Hearing Site: New York, NY
11-0087408/16/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
11-0048807/22/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): David Bayer
Respondent Lawyers(s): David R. Bayer
Arbitrator(s): Irving M. Shlesinger
Hearing Site: Atlanta, GA
10-0319206/16/2011Claimant(s): John Gramins
Claimant Lawyers(s): Mark E. Ruddy
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Gayle S. Sanders, Carolyn A. Mann, Jeffrey P. Bachmann
Hearing Site: New York, NY
09-0568505/20/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Robert Kantor
Respondent Lawyers(s): Robert Alan Kantor
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
09-0556205/05/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Ellen Sheridan-Cona
Respondent(s): Mitchell Kahn
Respondent Lawyers(s): Lawrence B. Khan
Arbitrator(s): Linda T. Pellegrino, Rick F. Suppa, Simone A. Muscarnera
Hearing Site: Newark, NJ
10-0104904/20/2011Claimant(s): Steven Tamsett
Claimant Lawyers(s): Peter A. Lagorio
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael J McAllister
Arbitrator(s): Thomas H. Tucker, Gerald H. Powers, Robert J. Ambrogi
Hearing Site: Boston, MA
10-0431104/19/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Joseph Morrissey
Respondent Lawyers(s): Joseph Thomas Morrissey
Arbitrator(s): Howard S. Quinn
Hearing Site: New York, NY

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