| 20-03378 | 02/09/2023 | Claimant(s): Gregory Smith, Sarah Smith
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Oppenheimer & Co.., Thomas Kruse
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Robert J. Scafuri, Mark Gregory Brackon, Kader M Alcodray
Hearing Site: Detroit, MI
|  | $70,000 |
| 19-00018 | 07/29/2020 | Claimant(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
| | Settlement |
| 18-04092 | 11/05/2019 | Claimant(s): Marc Menton
Claimant Lawyers(s): Alan Baskin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Jay Lawrence Witkin, Michael Kelley, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | |
| 18-02396 | 07/19/2019 | Claimant(s): Fabio della Sala
Claimant Lawyers(s): Fabio della Sala
Respondent(s): Alberto Ottaviani, Anatole Forostenko
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Robert E. Anderson, Howard Alan Grinsberg, Thomas M. Flohr
Hearing Site: New York, NY
| | $40,000 |
| 17-03404 | 01/07/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Donald A. Corbett
Respondent(s): Francis Roche
Respondent Lawyers(s): David Commins
Arbitrator(s): Nancy Hutt, John J. Fitzpatrick, James G. Gillivan
Hearing Site: San Francisco, CA
| | |
| 16-03687 | 06/04/2018 | Claimant(s): Robert Dekas
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Michael S. Matek, Anthony P. Pecora, Richard A. Berman
Hearing Site: Chicago, IL
| | $800,000 |
| 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 |
| 15-00701 | 05/31/2016 | Claimant(s): Ted Mazurek
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Oppenheimer & Co.., John Wilson
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Emily B. Boote, David F. Schmitz, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 14-01626 | 01/08/2016 | Claimant(s): Michael Marcello
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): James Forsythe, Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Joseph J. Arata, Peter A. Goldman, Gelvin L. Stevenson
Hearing Site: New York, NY
| | $0 |
