| 14-00824 | 09/26/2014 | Claimant(s): Carol Oliver
Claimant Lawyers(s): Courtney M. Yeager
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
|  | $14,600 |
| 12-01306 | 07/25/2013 | Claimant(s): Bevrose Investments LP, Emmrose Investments LP, LNR Investments LP, Penrose Investments LP
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Harry J Saginaw, James Douglas Haigh, Dineo Coleman Gary
Hearing Site: Dallas, TX
| | $75,000 |
| 11-02746 | 05/15/2013 | Claimant(s): Martin Shulman
Claimant Lawyers(s): Charles E. Scarlett
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): William W. Bride, Bonnie A. Pearce, Martin M. Van Luven
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00703 | 04/30/2012 | Claimant(s): The Estate of Beverly Erickson
Claimant Lawyers(s): Stephen Patrick Doyle
Respondent(s): Oppenheimer & Co.., Robert Long
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Joan L. Volz, Debra Jean Griebel, John D. Campion
Hearing Site: Minneapolis, MN
| | $100,000 |
| 10-01145 | 05/27/2011 | Claimant(s): Jason H. Solomon and Janet Solomon Trust
Claimant Lawyers(s): Mitchell S. Ostwald
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Paul F. Faberman, Peter H. Daly, Herbert L. Brown
Hearing Site: San Francisco, CA
| | $428,800 |
| 09-05038 | 12/29/2010 | Claimant(s): George Comeau
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Jack Friedman, Christopher C. Gorski, Abigail J. Pessen
Hearing Site: New York, NY
| | Expungement |
| 09-05081 | 12/13/2010 | Claimant(s): Dennis L Adams (DECD) IRA,, Mary Kay Adams IRA, Mary Kay Adams Living Trust
Claimant Lawyers(s): James R Anderson
Respondent(s): Oppenheimer & Co.., Susan Rose
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Roland L. Olzark, Garrick A. Rollert, Ronald Marvin Rothstein
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 09-04809 | 06/08/2010 | Claimant(s): Frederick Visconti, Mary Visconti
Claimant Lawyers(s): Richard De Vita
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Brian J. Burstin, James R. MacCrate, Brian R. Cohen
Hearing Site: New York, NY
| | $0 |
| 09-05195 | 05/13/2010 | Claimant(s): Edward Billig IRA
Claimant Lawyers(s): Edward Billig
Respondent(s): Gregory Iglow, Oppenheimer & Co.., RBC Capital Markets Corporation, Michael Rosenmayer
Respondent Lawyers(s): Abe Lampert, Deborah Dickstein
Arbitrator(s): James H. Frank
Hearing Site: Los Angeles, CA
| | $17,546 |
