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FINRA Awards for Oppenheimer & Co..

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Displaying 61-70 out of 199 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0340401/07/2019Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Donald A. Corbett
Respondent(s): Francis Roche
Respondent Lawyers(s): David Commins
Arbitrator(s): Nancy Hutt, John J. Fitzpatrick, James G. Gillivan
Hearing Site: San Francisco, CA
15-0307910/11/2018Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Brandon Riley
Respondent(s): Gabriel Block
Respondent Lawyers(s): Gabriel Block
Arbitrator(s): Richard D. Chusid, Neal D. Baker, Bryan David Glass
Hearing Site: New York, NY
18-0209110/08/2018Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Roger Bacon
Respondent Lawyers(s): Roger Mosley Bacon
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
18-0049309/27/2018Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan C. Uretsky
Respondent(s): Oppenheimer & Co.., Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel, John T. McGuire
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
18-0154809/19/2018Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Christopher Callagy
Respondent Lawyers(s): Christopher Rice Callagy
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
18-0033108/07/2018Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan Uretsky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
17-0218207/18/2018Claimant(s): Richard Grobman
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Guillermo L. Bosch, Sally Cheung, David Arthur Christiansen
Hearing Site: Philadelphia, PA
17-0329707/11/2018Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Michael Miser
Respondent Lawyers(s): Michael George Miser
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
17-0233206/22/2018Claimant(s): Stephen Seremetis
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
17-0222405/17/2018Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Mark Schrader
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY

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