| 16-00467 | 10/10/2016 | Claimant(s): Harold Sherman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, Timothy B. Atkins
Arbitrator(s): Marc T. Danon, Raymond E. Cornelius, Richard Merritt Langway
Hearing Site: Orlando, FL
|  | Expungement |
| 15-00280 | 09/26/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David E. Strand
Respondent(s): Olga Pereira
Respondent Lawyers(s): Jonathan E. Neuman
Arbitrator(s): Daniel Robbins, Barry Steven Port, Eric Mattison Rosenberg
Hearing Site: New York, NY
| | |
| 14-02448 | 08/22/2016 | Claimant(s): Roger A. Papa Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Timothy J. Currier, Michael J. Meeusen, Benjamin A. Kerner
Hearing Site: Detroit, MI
| | $0 |
| 15-02987 | 08/10/2016 | Claimant(s): Caren Kramer, Lauren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | Expungement |
| 15-02512 | 08/03/2016 | Claimant(s): Arthur Degen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Sanford S. Stevens, Linda J. Baer, Francis Carling
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-00054 | 07/25/2016 | Claimant(s): David McCormick, Ellen McCormick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
| | $0 |
| 15-00688 | 07/19/2016 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Renos Gordos
Respondent Lawyers(s): Renos Gordos
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | $0 |
| 15-01757 | 07/18/2016 | Claimant(s): John Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Keith Roberts
Hearing Site: New York, NY
| | $0 |
| 14-03401 | 06/17/2016 | Claimant(s): Marek Tchorzewski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Louis H. Miron, Sherrill Ruth Austin, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $27,927 |
| 15-00994 | 06/16/2016 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Bertrand C. Moser, Alan M. Holzberg, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $80,600 |
