| 22-02499 | 11/30/2023 | Claimant(s): Arnold Key, Stephanie Hicks, Susan Tilley, Michael Atkins, Frances Atkins' Estate, Stephanie Hicks IRA
Claimant Lawyers(s): Matt E. Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Richard H. Potter, John Russell Barlow
Hearing Site: Charlotte, NC
|  | $0 |
| 23-00137 | 11/10/2023 | Claimant(s): Frances Norman, Joe Norman, Joyce Bowman, Rita Manuel, William Bowman, Frances D. Norman IRA, Joe Bill Norman IRA, Joyce T. Bowman IRA, Rita Manuel IRA, William G. Bowman IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): James Woods, Oppenheimer & Co.., Julie Jones
Respondent Lawyers(s): James Wallace Woods, Julie Adelle Jones, William E. Mahoney
Arbitrator(s): James Michael Belk, Daniel F. Piar, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
| | $0 |
| 22-00904 | 11/03/2023 | Claimant(s): Pamela Snow, Terry Snow
Claimant Lawyers(s): Matt Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Frank V. Tutone, Alicia Mitchell-Mercer
Hearing Site: Charlotte, NC
| | $0 |
| 22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk
Hearing Site: Charlotte, NC
| | Settlement |
| 22-02948 | 06/21/2023 | Claimant(s): Nancy Everidge
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, John J. Woods, Julie Adelle Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Charles L.A. Terreni, Victoria Liccione, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
| | Withdrawn |
| 21-02816 | 03/02/2023 | Claimant(s): Bruce Cullen, Sr. and Rosemarie Cullen
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Barbara M. Zak, Benjamin F. Breslauer, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $1,483,670 |
| 21-02234 | 09/06/2022 | Claimant(s): Billy Loveless, Donald Robinson, Douglas Kasemeier, Rhett Rainey, Robert Burgner, Robert Goodman, Sharon Padden, Timothy Padden, Wesley Callaway, Toucan Holdings L.P., Kelley A. Rainey Trust, The Burgner Family Charitable Remainder
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): John D. Mattingly, George Pinckney Shingler, Jennifer Chandler Garvin
Hearing Site: Atlanta, GA
| | $36,745,100 |
| 09-07047 | 01/29/2013 | Claimant(s): Louis Pitch and Donna Pitch
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Alida D. Camp, Jerome M Shafer, Scott W. Mulford
Hearing Site: New York, NY
| | $2,450,000 |
| 09-06623 | 07/26/2011 | Claimant(s): Richard Fahs
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Janet L. Brown, Jane Venckus Zirlis, Francis J. Pavetti
Hearing Site: Hartford, CT
| | $82,947 |
| 09-05276 | 02/03/2011 | Claimant(s): Lewis Kivo
Claimant Lawyers(s): Lewis Kivo
Respondent(s): Oppenheimer & Co.., Michael Lesser
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Kinchen C. Bizzell, Robert Youdelman, Myrna E. DeJesus
Hearing Site: New York, NY
| | $40,600 |
