| 12-04256 | 06/10/2013 | Claimant(s): Richard Clawges
Claimant Lawyers(s): David Neuman
Respondent(s): Raymond Filorimo, Intervest International Equities Corp
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): A. George Saks, Kimberly A. Gilmour, Robin Shenkin-Tepper
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12206 |
| 10-04974 | 12/13/2012 | Claimant(s): Jacques Bernard
Claimant Lawyers(s): David Neuman
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Kenneth F. Berg
Arbitrator(s): Linda M. Granata, Richard E. Blackman, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03350 | 10/24/2012 | Claimant(s): Sergio Alvarado
Claimant Lawyers(s): David Neuman
Respondent(s): Glen Smith, Capstone Partners, L.C.
Respondent Lawyers(s): Glen Edward Smith, Gregory Bartko
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
| | $997,380 |
| 11-01036 | 06/06/2012 | Claimant(s): Kawaljit Bedi, Ravinder Bedi
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Susan B. Gans-Smith, Thanayi J. Lindsey, Daniel Su
Hearing Site: Los Angeles, CA
| | $141,250 |
| 11-00974 | 03/29/2012 | Claimant(s): Chris Funnell
Claimant Lawyers(s): David Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | Expungement |
| 10-01647 | 02/21/2012 | Claimant(s): Rhonda Foster
Claimant Lawyers(s): David Neuman
Respondent(s): Cannen Ferrell, James Walsh
Respondent Lawyers(s): David C. Holt, Robert J. Girard
Arbitrator(s): Arthur H. Geffen, Robert Jerry Strader, Alan Keith Goldfarb
Hearing Site: Dallas, TX
| | Expungement |
| 09-04970 | 10/24/2011 | Claimant(s): Debbie Kuerth, Steve Kuerth
Claimant Lawyers(s): David Neuman
Respondent(s): Jon Pearn
Respondent Lawyers(s): Carla B. Minckley
Arbitrator(s): Lee H. Goodman, Michael Stephen Knight, James A. Murphy
Hearing Site: Chicago, IL
| | Expungement |
| 09-05114 | 10/29/2010 | Claimant(s): Jeane Hahn, William Hahn
Claimant Lawyers(s): David Neuman
Respondent(s): David Coles, Valmark Securities.
Respondent Lawyers(s): Deborah Klar
Arbitrator(s): Andrew M. Mintzer, Harris J. Howard, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00336 | 05/08/2009 | Claimant(s): Edward King, Roderick King
Claimant Lawyers(s): David Neuman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): M. Bruce Adelberg, Lita S Menkin, James Edward Seale
Hearing Site: Birmingham, AL
| | $620,507 |
| 08-01276 | 05/07/2009 | Claimant(s): Diana Landau, Trustee
Claimant Lawyers(s): David Neuman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Michael S. Hill, Bruce D. Horton, Kathryn Elizabeth Murphy
Hearing Site: St. Louis, MO
| | $145,740 |
