| 16-02574 | 05/23/2018 | Claimant(s): Arlene H. Haft IRA, Richard J. Haft IRA, Richard J. Haft Living Trust
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): George G. Kurschner, Mark I. Roth, Scott Manker
Hearing Site: Boca Raton, FL
|  | Expungement |
| 17-00188 | 02/26/2018 | Claimant(s): James Treacy, Nancy Treacy
Claimant Lawyers(s): Eric S. Hutner
Respondent(s): Edward Longridge, Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Louis H. Miron, Richard C. Antonelli, Howard Alan Grinsberg
Hearing Site: Newark, NJ
| | $300,300 |
| 16-01304 | 10/06/2017 | Claimant(s): Joseph Louie, Wai Louie
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Oppenheimer & Co.., Michael Rosenmayer
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Alan Stamm, Richard N. Friedman, Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02160 | 09/26/2017 | Claimant(s): Linda Kaplan
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Brooks White, Patricia Kathleen Costello, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 15-03215 | 06/22/2017 | Claimant(s): Gene G. Leary Revocable Living Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): Oppenheimer & Co.., Miguel Garcia
Respondent Lawyers(s): Brian D. Buckstein, Cory S. Zadanosky
Arbitrator(s): Guillermo A. Gleizer, Margo Denise Wright, Jorge Rice
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | $1,379,400 |
| 15-03006 | 04/25/2017 | Claimant(s): Baynes Family Trust, Jack A. and Sarah Cohen Family Trust
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Daniel Levin, Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Neil S. Jasper, Michael Joseph Desmond, DeMarlo Matine Sims
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02169 | 04/20/2017 | Claimant(s): Carol Cohen, Martin Cohen
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Annamaria Boccia Smith, Benjamin L. Anderson, Steven Hale Zousmer
Hearing Site: New York, NY
| | Expungement |
| 16-00310 | 04/06/2017 | Claimant(s): John Summerfield, John A. Summerfield IRA, John A. Summerfield Trust
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona Esq.
Arbitrator(s): Howard Z. Gopman, Michael S. Jordan, Seymour Andrew Newman
Hearing Site: Chicago, IL
| | Expungement |
| 16-00430 | 02/14/2017 | Claimant(s): Howard Schreibstein, Wendy Schreibstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan- Cona
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
| | $23,650 |
