| 13-02292 | 11/26/2014 | Claimant(s): Charlotte Lucas, Samuel Lucas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Cindy D. Hinkle
Arbitrator(s): Elton W. Chartrand
Hearing Site: Memphis, TN
|  | $46,048 |
| 12-02031 | 11/14/2014 | Claimant(s): Dean Hart
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Andrew Trochez, Craig Josephberg, Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Andrew Jesus Trochez, Anthony C. Varbero, Craig L. Josephberg
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $25,000 |
| 13-03014 | 11/10/2014 | Claimant(s): Larry Hamilton
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): John Russell Barlow, John G. Shamp, Jason Alexander Diamond
Hearing Site: Charlotte, NC
| | $580,375 |
| 13-00138 | 08/25/2014 | Claimant(s): Alberts Trust of 1997 Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Terry F. Peppard, James P. O'Donnell, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | $195,000 |
| 13-00740 | 07/31/2014 | Claimant(s): Nancy Chard
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TFS Securities.
Respondent Lawyers(s): Russell S. Burnside
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
| | $0 |
| 12-03320 | 06/27/2014 | Claimant(s): Susan Dumas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jason Parker, E*Trade Securities LLC
Respondent Lawyers(s): Jason Charles Parker, Meredith Felde Hoffman
Arbitrator(s): Robert H. Putnam, Constance P. Barr, James David Askren
Hearing Site: Atlanta, GA
| | $0 |
| 12-03412 | 03/31/2014 | Claimant(s): Albert Clark, Victoria Clark
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Peter Maller, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Schaffner
Arbitrator(s): Thomas B. Corey, Samuel A. Alward, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 12-04103 | 03/05/2014 | Claimant(s): Laurence Goldstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Lewis S. Kurlantzick
Hearing Site: Hartford, CT
| | $0 |
| 13-00137 | 03/03/2014 | Claimant(s): Cheryl Christiansen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Terry F. Peppard, Arthur Richard Tow, Verne R. Gray
Hearing Site: Des Moines, IA
| | Expungement |
| 12-03730 | 12/27/2013 | Claimant(s): Hana Friedman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Rocco Papandrea
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Sandra D. Parker, Lynne M. Reid-McQueen, Michael Jaffe
Hearing Site: New York, NY
| | Expungement |
