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FINRA Awards for Jonathan E. Neuman

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Displaying 141-150 out of 171 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0228708/21/2015Claimant(s): Charles Prine, TTEE
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): John G. Manley, Maria Aguilar Icaza, James L. Warren
Hearing Site: Jackson, MS
Checkmark Icon$0
14-0143708/18/2015Claimant(s): IRA FBO Robert Elizondo
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jon Sanchez
Respondent Lawyers(s): Steven F. Bus
Arbitrator(s): Paul H. Lamboley
Hearing Site: Reno, NV
Checkmark Icon$78,725
14-0248008/06/2015Claimant(s): Fred Anthony
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Cadaret, Grant & Co..
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Dana R. Krajack, Dana Tait Sandlin, Celeste A. Beron
Hearing Site: Columbia, SC
Checkmark IconDismissed by Rule 12206
14-0143608/05/2015Claimant(s): James Borelli, Kelly Borelli
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jon Sanchez
Respondent Lawyers(s): Steven F. Bus
Arbitrator(s): Paul E. Dahlman
Hearing Site: Reno, NV
Checkmark Icon$40,000
13-0250807/09/2015Claimant(s): Alicia Terzo, Berry West
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
Checkmark Icon$60,545
13-0020306/19/2015Claimant(s): Eloise Clawson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Chesley Oriel, John B. Kinsellagh, Gene M. Bauer
Hearing Site: Boston, MA
Checkmark Icon$0
13-0258005/22/2015Claimant(s): Linda Pennfield
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Michael J. Maran, Linda J. Baer, Roger B. Jacobs
Hearing Site: New York, NY
Checkmark Icon$0
14-0108305/21/2015Claimant(s): Ray Long, Sharon Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Raymond James Financial Services., Edward Jones
Respondent Lawyers(s): Justin Joseph D'Elia, Kelli Hartsook
Arbitrator(s): Stuart D. Summers, Tim V. Young, William Peter Kealey
Hearing Site: Indianapolis, IN
Checkmark IconExpungement
13-0320205/21/2015Claimant(s): Brian Jacobs
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Samuel T. Acker
Arbitrator(s): Michael Fischetti, Robert R. Salman, Robert T. Costello
Hearing Site: Newark, NJ
Checkmark Icon$75,000
14-0335605/11/2015Claimant(s): Michele Raines
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Jones
Respondent Lawyers(s): Justin Joseph D'Elia
Arbitrator(s): Stephen P. LaLonde, Christopher C. Willett, Ronald J. Vero
Hearing Site: Buffalo, NY
Checkmark Icon$0

171 Results

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