| 16-00178 | 11/17/2016 | Claimant(s): The Estate of Charline D. Smith
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns.
Arbitrator(s): Michael D. Fitzgerald
Hearing Site: Kansas City, MO
|  | Expungement |
| 15-02978 | 11/17/2016 | Claimant(s): Deborah Hawkins, James Hawkins
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William Mann
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | $0 |
| 15-03194 | 11/14/2016 | Claimant(s): Kevin Gross
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert L. Yeager, James C. Allums, Jay M. Vogelson
Hearing Site: Dallas, TX
| | Expungement |
| 15-01506 | 11/08/2016 | Claimant(s): Barbara Carney, Leroy Carney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald S. Green, Jonathan H. Krotinger, Philip Aaron Tymon
Hearing Site: Reno, NV
| | $0 |
| 15-02988 | 10/20/2016 | Claimant(s): Caren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
| 16-00467 | 10/10/2016 | Claimant(s): Harold Sherman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, Timothy B. Atkins
Arbitrator(s): Marc T. Danon, Raymond E. Cornelius, Richard Merritt Langway
Hearing Site: Orlando, FL
| | Expungement |
| 14-02448 | 08/22/2016 | Claimant(s): Roger A. Papa Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Timothy J. Currier, Michael J. Meeusen, Benjamin A. Kerner
Hearing Site: Detroit, MI
| | $0 |
| 15-02987 | 08/10/2016 | Claimant(s): Caren Kramer, Lauren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | Expungement |
| 15-02512 | 08/03/2016 | Claimant(s): Arthur Degen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Sanford S. Stevens, Linda J. Baer, Francis Carling
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-00054 | 07/25/2016 | Claimant(s): David McCormick, Ellen McCormick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
| | $0 |
