| 14-02604 | 01/22/2016 | Claimant(s): Daniel Fleming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Anthony Lodati, President
Arbitrator(s): Edward M. Olson, Patrick R. Sughroue, Melissa B. VanDam
Hearing Site: Detroit, MI
|  | $241,940 |
| 13-03327 | 12/15/2015 | Claimant(s): Dana Johnson, Malvin Johnson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | $10,600 |
| 15-00011 | 12/14/2015 | Claimant(s): Pamela Averick, Averick Financial LLC
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machinski
Arbitrator(s): Joseph J. Arata, Howard D. Jacob, Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 14-01455 | 12/02/2015 | Claimant(s): William Suhoski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Salvatore Gioe
Respondent Lawyers(s): Salvatore Gioe
Arbitrator(s): James J. Puhala
Hearing Site: Pittsburgh, PA
| | $9,107 |
| 14-03286 | 12/01/2015 | Claimant(s): Heather Law, Kenneth Law
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $0 |
| 13-03731 | 11/19/2015 | Claimant(s): Charles Horton
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): I. Douglas Dunipace, Jerry H. Friedland, Zeek Ojeh
Hearing Site: Phoenix, AZ
| | $0 |
| 14-00383 | 09/22/2015 | Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $58,563 |
| 14-02069 | 09/01/2015 | Claimant(s): Charles Rayburn, Pamela Rayburn
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TradeKing
Respondent Lawyers(s): Paul McCurdy
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $2,500 |
| 14-01718 | 08/21/2015 | Claimant(s): George Gartner
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 13-00209 | 08/21/2015 | Claimant(s): Michael Kohlenstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Oderman, Euro Pacific Capital.
Respondent Lawyers(s): Peter Chema, Robert J. Harvey
Arbitrator(s): Gordon M. Wase, John Leslie Coker, Naomi Ime Blake
Hearing Site: Baltimore, MD
| | $70,359 |
