FINRA Awards for Jonathan E. Neuman

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Displaying 161-164 out of 164 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-04103	03/05/2014	Claimant(s): Laurence Goldstein Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Stefanie M. Wayco Arbitrator(s): Lewis S. Kurlantzick Hearing Site: Hartford, CT		$0
13-00137	03/03/2014	Claimant(s): Cheryl Christiansen Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Edward Jones Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Terry F. Peppard, Arthur Richard Tow, Verne R. Gray Hearing Site: Des Moines, IA		Expungement
12-03730	12/27/2013	Claimant(s): Hana Friedman Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Rocco Papandrea Respondent Lawyers(s): Robert E. Goldberg Arbitrator(s): Sandra D. Parker, Lynne M. Reid-McQueen, Michael Jaffe Hearing Site: New York, NY		Expungement
12-02948	12/02/2013	Claimant(s): John Hoots Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): SunTrust Investment Services. Respondent Lawyers(s): Camden R. Webb Arbitrator(s): John Russell Barlow, Richard E. Miley, Frank V. Tutone Hearing Site: Charlotte, NC		$27,000