| 14-02072 | 04/18/2016 | Claimant(s): Sutton Investment LLC
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Jo Lanier Meeks
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
|  | $12,996 |
| 14-03492 | 04/14/2016 | Claimant(s): Frank Garcia
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Robert R. Salman, Joseph H. Cerame, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | $300 |
| 14-00529 | 04/13/2016 | Claimant(s): David Menashe
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Ann Aylesworth
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $100,000 |
| 15-00286 | 04/12/2016 | Claimant(s): Alan Silverstein, Karen Silverstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, James S. Hazard, Ronald F. Rosner
Hearing Site: New York, NY
| | $0 |
| 15-00372 | 04/08/2016 | Claimant(s): Ileane Scopinsky, Sheldon Scopinsky
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leah G. Rabinowitz, Rena E. Grossfield, James S. Hazard
Hearing Site: New York, NY
| | $0 |
| 14-01901 | 03/23/2016 | Claimant(s): Dennis Urbanski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Gregory Flemming
Respondent Lawyers(s): Gregory Flemming
Arbitrator(s): David R. Foley
Hearing Site: Buffalo, NY
| | $50,150 |
| 14-02286 | 03/18/2016 | Claimant(s): Carol Craig
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Southwest Securities., John Coyle
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Robert J. Gregory, Gerald Ray Waterston, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | $2,500 |
| 15-00473 | 03/04/2016 | Claimant(s): Kim Stern
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Kevin R. McManaman
Arbitrator(s): Terry F. Peppard, Brett W. Olander, Verne R. Gray
Hearing Site: Des Moines, IA
| | $57,925 |
| 15-00661 | 02/26/2016 | Claimant(s): Robert Flemming and Josephine Flemming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 14-00872 | 02/25/2016 | Claimant(s): Nora Smith, Estate of Dennis L. Smith, Dennis L. Smith Trust dtd 11/30/07
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Elliott Zachary Seff, Robert B. Hansohn, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
