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FINRA Awards for Oppenheimer & Co..

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Displaying 11-20 out of 110 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0160407/01/2022Claimant(s): Gerald Fallon
Claimant Lawyers(s): Jeffrey S. Moeller
Respondent(s): Ernest Mishne, Oppenheimer & Co.., Tom Thacker
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Michael L. Fortney, Dennis S. Medica, CPA, Ronald Edward Alexander
Hearing Site: Cleveland, OH
Checkmark Icon$220,352
19-0119212/21/2021Claimant(s): Ionia Bedrosian, Shari Turnbull
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Diana Ceylan, Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
Checkmark IconExpungement
20-0163910/06/2021Claimant(s): Judith Cohen, MaxTrustDtd1/16/97 an AZ RvcbleLvgTrust
Claimant Lawyers(s): Jonah Toleno
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Timothy J. Kroll, Floyd Gerry Hoffman, Ronald Stewart Ripley
Hearing Site: Phoenix, AZ
Checkmark Icon$0
19-0227410/05/2021Claimant(s): Hanala Sagal
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Nancy G. Harris, Thomas R. Watkins, Robert C. Albini
Hearing Site: Los Angeles, CA
Checkmark Icon$355,865
20-0143408/16/2021Claimant(s): Harriet Zisman Trust DTD 12/23/1997
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Murphy
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
20-0096106/18/2021Claimant(s): Theresa McTague
Claimant Lawyers(s): William Pete Nacy
Respondent(s): James Louderbaugh, Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Mark L. Williams, Karen Roberts Washington, Robert G Cass
Hearing Site: Oklahoma City, OK
Checkmark IconExpungement
19-0081603/15/2021Claimant(s): Reuben J Donig Atny At Law Sal Def Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Jon H. Sylvester, Gary Kostow, Carol Marshall
Hearing Site: San Francisco, CA
Checkmark Icon$0
20-0053409/17/2020Claimant(s): Patricia Caporizzo
Claimant Lawyers(s): Patricia A Caporizzo
Respondent(s): Alan Sokol, Carl Susnitzky, Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
Checkmark Icon$0
19-0001807/29/2020Claimant(s): Ellin Einhorn IRA, Stuart M. Einhorn Rollover IRA
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Amanda M. Cole
Hearing Site: Jacksonville, FL
Checkmark IconSettlement
18-0005406/15/2020Claimant(s): Luciano Borgia
Claimant Lawyers(s): Luciano Borgia
Respondent(s): National Securities Corporation, Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky, Sara Soto
Arbitrator(s): Thomas W. Allen, John Joseph Long, Charles J Goldman
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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