| 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 |
| 20-03985 | 09/30/2022 | Claimant(s): Elizabeth Catana, Robert Catana
Claimant Lawyers(s): Matt Wolper
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Paul J. Burkhart, John B. Sochacki, Anthony Terence Flynn
Hearing Site: Boca Raton, FL
| | $850,000 |
| 20-03998 | 02/14/2022 | Claimant(s): Erwin Knapp, Linda Kelderhouse, Erwin Knapp IRA, Erwin A. Knapp & Marga Knapp JTWROS, Linda Kelderhouse TOD
Claimant Lawyers(s): Matt Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Briana K. Huffer
Arbitrator(s): William H. Morley, John Michael Richardson, Joyce Diane Campbell Priveterre
Hearing Site: New York, NY
| | Expungement |
| 20-00058 | 05/28/2021 | Claimant(s): Bettina Bastille, Mark Bastille
Claimant Lawyers(s): Matt Wolper
Respondent(s): Curtis Smiley, Wilfredo Felix, Primex
Respondent Lawyers(s): Curtis Howard Smiley, Wilfredo Felix
Arbitrator(s): John P. Cullem, Kenneth R. Starr, Brian Gregorius
Hearing Site: Tampa, FL
| | Expungement |
| 20-00811 | 11/09/2020 | Claimant(s): Frank Bain, Mark Bain
Claimant Lawyers(s): Matt Wolper
Respondent(s): Veravest Investments., Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakis, Mark H. Stepakoff
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
| | |
| 20-00698 | 09/04/2020 | Claimant(s): Armand Atkinson
Claimant Lawyers(s): Matt Wolper
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
| | |
| 19-02074 | 03/16/2020 | Claimant(s): Lawrence Eppolito
Claimant Lawyers(s): Matt Wolper
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
| | |
| 19-00619 | 01/21/2020 | Claimant(s): Ronald Carson
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Philip J. Glick
Hearing Site: Omaha, NE
| | |
