16-01496 | 11/10/2017 | Claimant(s): Estate of Michael Williams Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): James King, Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jaimeson Arbitrator(s): Tina E. Patterson, James Michael Belk, Frank V. Tutone Hearing Site: Charlotte, NC
| | $600 |
15-02033 | 04/25/2017 | Claimant(s): Steven Hedrick Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): James King, Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Robert H. Putnam, Michael E. Weddington Hearing Site: Raleigh, NC
| | Expungement |
15-02397 | 05/09/2016 | Claimant(s): David Smith Claimant Lawyers(s): David Neuman Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Alexander J. Nassar Arbitrator(s): Jim Geiger, Robert M. Singer, Patrick Leo Kennedy Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
14-01597 | 10/19/2015 | Claimant(s): Sharon Krieger Claimant Lawyers(s): Thomas C. Costello Respondent(s): Michael Fein, Commonwealth Financial Network Respondent Lawyers(s): James A. Johnson Arbitrator(s): James A. Hayes Hearing Site: Baltimore, MD
| | Expungement |
14-00446 | 09/09/2015 | Claimant(s): Janna Yarbrough Claimant Lawyers(s): Richard H. Elliott Respondent(s): Gary Brownfield, Commonwealth Financial Network Respondent Lawyers(s): Michael G. Brown Arbitrator(s): William L. Cravens, Richard C. Corse, Lawrence R. Maxwell Hearing Site: Dallas, TX
| | $65,250 |
13-03014 | 11/10/2014 | Claimant(s): Larry Hamilton Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Cameron S. Matheson Arbitrator(s): John Russell Barlow, John G. Shamp, Jason Alexander Diamond Hearing Site: Charlotte, NC
| | $580,375 |
13-03041 | 08/08/2014 | Claimant(s): Robert E and Susan Bowers Claimant Lawyers(s): Robert Bowers Respondent(s): Scott Eglseder, Commonwealth Financial Network Respondent Lawyers(s): Joe Tully Arbitrator(s): Jane C. Carney Hearing Site: Baltimore, MD
| | $4,632 |
12-00812 | 09/30/2013 | Claimant(s): Lois Schipper, Richard Schipper, The Lois Schipper Trust, The Richard W. Schipper, Sr. Trust Claimant Lawyers(s): Sandra J Budnick Respondent(s): Fouad Zeaiter, Ameriprise Financial Services., Commonwealth Financial Network Respondent Lawyers(s): Edward Walton, Francis R. Ortiz Arbitrator(s): Keith J. Koerber, William M. Azkoul, Marsha-laine Ferrer Dungog Hearing Site: Detroit, MI
| | $26,000 |
12-00130 | 08/14/2013 | Claimant(s): Angela Pollice, Philip Pollice Claimant Lawyers(s): Brian J. Sommer Respondent(s): David Root, Commonwealth Financial Network, D.B. Root & Company Respondent Lawyers(s): Jay E. Kagan Arbitrator(s): Thomas C. Wagner, Christopher Lepore, G. Daniel Carney Hearing Site: Pittsburgh, PA
| | $0 |
12-04100 | 07/08/2013 | Claimant(s): John Saint-Amour Claimant Lawyers(s): David H. Gibbs Respondent(s): Daniel Ball, Commonwealth Financial Network Respondent Lawyers(s): Joe Tully Arbitrator(s): Kelly M. Lonergan Hearing Site: Boston, MA
| | $0 |