Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 16-03318 | 06/22/2017 | Claimant(s): Nancy Savage Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Jeffrey Drapala, Raymond James Financial Services. Respondent Lawyers(s): Erin K. Linehan Arbitrator(s): Linda M. Foster-Wells Hearing Site: Boca Raton, FL |  | Expungement |
| 16-01479 | 06/14/2017 | Claimant(s): Robert Yun Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Mark Karow, Legend Securities. Respondent Lawyers(s): Mark Alan Karow, Sergio Caruso Arbitrator(s): Susan Manca Hearing Site: New York, NY | | $0 |
| 16-00381 | 05/11/2017 | Claimant(s): Mark Bell Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): TD Ameritrade. Respondent Lawyers(s): Simeon M. Schopf Arbitrator(s): Bertrand M. Lanchner, Stephen A. Weiner, Marion F. Posner Hearing Site: New York, NY | | $0 |
| 16-02107 | 05/05/2017 | Claimant(s): Velma Lockley Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Richard W. Cutler Hearing Site: New York, NY | | Dismissed by Rule 12206 |
| 15-00010 | 05/03/2017 | Claimant(s): Steven Griff Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Robert T. Allen, John A. Baynes, Brock B. Gordon Hearing Site: Charlotte, NC | | $0 |
| 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 |
| 16-02988 | 04/20/2017 | Claimant(s): The Estate Of T Florida Seneca Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): T.R. Bynum Arbitrator(s): Peter L. Michaelson Hearing Site: Newark, NJ | | Dismissed by Rule 12206 |
| 16-03513 | 04/07/2017 | Claimant(s): Lorenzo Grandioso Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Edward Jones Respondent Lawyers(s): Justin Joseph D'Elia Arbitrator(s): Micalyn S. Harris Hearing Site: Newark, NJ | | Dismissed by Rule 12206 |
| 14-02887 | 03/24/2017 | Claimant(s): Sarah Harmon Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Robert T. Allen Hearing Site: Raleigh, NC | | $0 |
| 16-01123 | 03/09/2017 | Claimant(s): Anthony Pryor Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Geoff Beckham Arbitrator(s): George W. Harding, Herbert Liberman, Walter J. Huntley Hearing Site: Albuquerque, NM | | $357,000 |