| 15-02083 | 02/01/2017 | Claimant(s): Paul Kaplan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): David Dyer, Alliance Affiliated Equities Corporation
Respondent Lawyers(s): David Freniere
Arbitrator(s): Sandor I. Rabkin, Byron Alexander Menides, Nickolas F. Monteforte
Hearing Site: Boston, MA
|  | $0 |
| 15-02789 | 01/13/2017 | Claimant(s): Jane Baum, Larry Baum
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Hantz Financial Services.
Respondent Lawyers(s): David Shea
Arbitrator(s): Jeffry M. Bauer, John F. Burns, Seth H. Barsky
Hearing Site: Detroit, MI
| | $86,425 |
| 15-03089 | 01/12/2017 | Claimant(s): Robert Francis
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): David Smitham
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | Expungement |
| 16-00493 | 12/09/2016 | Claimant(s): David Kode
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Stuart M. Schwartz, Carl J. Disalvatore, Ronald Francis Thompson
Hearing Site: Syracuse, NY
| | Dismissed by Rule 12206 |
| 15-01665 | 11/22/2016 | Claimant(s): Praveen Chandra
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mary M. O'Neil, Brent J. Rosenbaum, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
| 16-00178 | 11/17/2016 | Claimant(s): The Estate of Charline D. Smith
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns.
Arbitrator(s): Michael D. Fitzgerald
Hearing Site: Kansas City, MO
| | Expungement |
| 15-02978 | 11/17/2016 | Claimant(s): Deborah Hawkins, James Hawkins
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William Mann
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | $0 |
| 15-03194 | 11/14/2016 | Claimant(s): Kevin Gross
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert L. Yeager, James C. Allums, Jay M. Vogelson
Hearing Site: Dallas, TX
| | Expungement |
| 15-01506 | 11/08/2016 | Claimant(s): Barbara Carney, Leroy Carney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald S. Green, Jonathan H. Krotinger, Philip Aaron Tymon
Hearing Site: Reno, NV
| | $0 |
| 15-02988 | 10/20/2016 | Claimant(s): Caren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
