| 15-02732 | 04/11/2016 | Claimant(s): James Hunter
Claimant Lawyers(s): Julie W. Portera
Respondent(s): Charles Prine
Respondent Lawyers(s): Jonathan E. Neuman
Arbitrator(s): Daniel T. Hull
Hearing Site: Birmingham, AL
| | Expungement |
| 15-00372 | 04/08/2016 | Claimant(s): Ileane Scopinsky, Sheldon Scopinsky
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leah G. Rabinowitz, Rena E. Grossfield, James S. Hazard
Hearing Site: New York, NY
|  | $0 |
| 14-01901 | 03/23/2016 | Claimant(s): Dennis Urbanski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Gregory Flemming
Respondent Lawyers(s): Gregory Flemming
Arbitrator(s): David R. Foley
Hearing Site: Buffalo, NY
| | $50,150 |
| 14-02286 | 03/18/2016 | Claimant(s): Carol Craig
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Southwest Securities., John Coyle
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Robert J. Gregory, Gerald Ray Waterston, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | $2,500 |
| 15-00473 | 03/04/2016 | Claimant(s): Kim Stern
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Kevin R. McManaman
Arbitrator(s): Terry F. Peppard, Brett W. Olander, Verne R. Gray
Hearing Site: Des Moines, IA
| | $57,925 |
| 15-00661 | 02/26/2016 | Claimant(s): Robert Flemming and Josephine Flemming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 14-00872 | 02/25/2016 | Claimant(s): Nora Smith, Estate of Dennis L. Smith, Dennis L. Smith Trust dtd 11/30/07
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Elliott Zachary Seff, Robert B. Hansohn, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02383 | 02/22/2016 | Claimant(s): Terry Nauman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Stephen Mckoy
Respondent Lawyers(s): Stephen Dirk Mckoy
Arbitrator(s): John J. Miller
Hearing Site: Des Moines, IA
| | $144,223 |
| 14-02906 | 02/17/2016 | Claimant(s): Joanne Marano
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): David Sivel
Respondent Lawyers(s): Joseph C. Korsak
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $49,300 |
| 14-00620 | 02/09/2016 | Claimant(s): Mike Thompson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Michael DeFelice
Respondent Lawyers(s): Michael DeFelice
Arbitrator(s): Martin Brosnan, Benjamin A. Kerner, Carl E. Ver Beek
Hearing Site: Detroit, MI
| | Expungement |
