| 17-01088 | 06/27/2018 | Claimant(s): Rodger Rickel
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): James Miles Goodwin
Hearing Site: Seattle, WA
|  | $0 |
| 17-02345 | 06/18/2018 | Claimant(s): Richard Walsh
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | $16,778 |
| 15-00020 | 05/22/2018 | Claimant(s): Adam Goldstein, Jared Goldstein, Robert Goldstein, Estate of Herbert J. Goldstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley, Eugene Desoiza
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Carl Shechter, Edward R. Niederriter, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | $36,984 |
| 15-03156 | 04/16/2018 | Claimant(s): Mark Slaughter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Philip J. Mackey
Arbitrator(s): Gregory D. Hoffmann, Kenneth R. Starr, Andrew Michael Bonderud
Hearing Site: Jacksonville, FL
| | $78,500 |
| 17-00778 | 04/13/2018 | Claimant(s): Mark Speck, Tonya Speck
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Mary E. Woytek, Mona Koppel Mitnick, Christopher M. McMurray
Hearing Site: Washington, DC
| | $0 |
| 17-00773 | 02/27/2018 | Claimant(s): St. Anel Saint-Vilus
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Clive I. Morrick, Harrison Johnson
Hearing Site: New York, NY
| | $0 |
| 16-00060 | 02/06/2018 | Claimant(s): Carl Osborne III IRA, Carl Osborne III SEP IRA, Susan Osborne SEP IRA
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Meyers, Meyers Associates, L.P.
Respondent Lawyers(s): Bruce Meyers, Gregory S. Sparer
Arbitrator(s): Brian J. Burstin, Charles F. Titterton, Jay Alan Kranis
Hearing Site: New York, NY
| | $45,425 |
| 16-03181 | 01/29/2018 | Claimant(s): Emanuel De Oliveira, Francys De Oliveira
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Garcia
Respondent Lawyers(s): Russell L. Forkey
Arbitrator(s): Joseph Benalt, Peter A. Roche, Ivy Robin Ginsberg
Hearing Site: Miami, FL
| | $0 |
| 15-01027 | 11/22/2017 | Claimant(s): Madeline Garramone
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Glenn King, Royal Alliance Associates.
Respondent Lawyers(s): Glenn R. King, Steven E. Mellen
Arbitrator(s): Robert E. Anderson, Robert T. Costello, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $200,300 |
| 15-03469 | 11/13/2017 | Claimant(s): Howard Brinkerhoff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Timothy Leahy
Respondent Lawyers(s): Timothy Francis Leahy
Arbitrator(s): I. Douglas Dunipace, George W. Harding, Garnett Sailor
Hearing Site: Phoenix, AZ
| | $50,000 |
