| 13-01223 | 06/25/2014 | Claimant(s): Uzoamaka Akpele
Claimant Lawyers(s): Bobby C. Aniekwu
Respondent(s): Frederick Brown, Oppenheimer & Co..
Respondent Lawyers(s): James A. Nofi
Arbitrator(s): Daniel E. Gulden, John N. Breazeale, Robert C. Port
Hearing Site: Atlanta, GA
|  | $600 |
| 12-02024 | 06/24/2014 | Claimant(s): Richard Estes
Claimant Lawyers(s): David B. Helms
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): Leah A. Murray, Gerald Cohen, Keith E. Mattern
Hearing Site: St. Louis, MO
| | $231,900 |
| 12-02482 | 05/19/2014 | Claimant(s): Renee Ginsberg, Trustee UAD 3/19/1991
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Barry Ginsberg, Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky,
Arbitrator(s): Lawrence M. Green, Steven Gerard Goerke, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00452 | 05/02/2014 | Claimant(s): Carluco Investments Limited
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Carl Shechter, Steven E. Eisenberg, James Michael LaBonte
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02052 | 10/25/2013 | Claimant(s): Anne R. Jones
Claimant Lawyers(s): David S Blessing
Respondent(s): Grover Cook, Oppenheimer & Co..
Respondent Lawyers(s): Grover Keith Cook, Leo Kogan
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
| | $126,510 |
| 12-00626 | 10/04/2013 | Claimant(s): Kathleen Wu
Claimant Lawyers(s): Thomas G. Shapiro
Respondent(s): Eric Gauster, Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Mary C. Kelleher, David Ellis, Andrea J. Goldman
Hearing Site: Boston, MA
| | $452,060 |
| 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 |
| 11-03559 | 07/23/2013 | Claimant(s): Varoujan Khorozian
Claimant Lawyers(s): Matthew M. Keshisian
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 11-03613 | 07/23/2013 | Claimant(s): Asset Protection Plans.
Claimant Lawyers(s): S. David Anton
Respondent(s): Oppenheimer & Co.., Joseph Vaccaro
Respondent Lawyers(s): Peter Byer, Ruthann Granito Niosi
Arbitrator(s): Richard R. Logsdon, Darlene M. Andert, Steele Thomas Williams
Hearing Site: Tampa, FL
| | $0 |
| 12-00919 | 06/06/2013 | Claimant(s): Linda Savitch
Claimant Lawyers(s): Victor P. Muskin
Respondent(s): Frank Palombo, Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Leonard M. Bakal, Vincent C. Pangia, Brian John Gallagher
Hearing Site: New York, NY
| | $0 |
