17-00078 | 02/08/2019 | Claimant(s): Sam Freeland Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): TD Ameritrade. Respondent Lawyers(s): Niels P. Murphy Arbitrator(s): Gregory D. Hoffmann, A. Ronald Tonks, Irwin Venick Hearing Site: Nashville, TN
| | $15,000 |
18-00026 | 01/16/2019 | Claimant(s): George Booth Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Woodstock Financial Group. Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Charles Scott McClellan Hearing Site: Seattle, WA
| | $0 |
17-03268 | 01/15/2019 | Claimant(s): Christine Spaziani, Robert Spaziani Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Janney Montgomery Scott LLC Respondent Lawyers(s): Samuel Cohen Arbitrator(s): David F. Griesing, Emily Kay Declercq, Thomas E Kopil Hearing Site: Philadelphia, PA
| | $0 |
17-01642 | 12/12/2018 | Claimant(s): Congregation Machzikei Hadas Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): TD Ameritrade. Respondent Lawyers(s): Simeon Schopf Arbitrator(s): Ted M. Rosen, Clive I. Morrick, Deborah Nadine Kaminer Hearing Site: New York, NY
| | $0 |
17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): James King, Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major Hearing Site: Charlotte, NC
| | $550,000 |
17-01207 | 11/12/2018 | Claimant(s): Kathy Walters Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): James King, Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane Hearing Site: Charlotte, NC
| | $129,058 |
17-01205 | 10/30/2018 | Claimant(s): Robert Cline Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): James King, Commonwealth Financial Network Respondent Lawyers(s): Peter B. King Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon Hearing Site: Charlotte, NC
| | $127,925 |
17-03261 | 10/23/2018 | Claimant(s): Greg Biddle, Karla Biddle Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Judy Louie Arbitrator(s): Marc Kalish Hearing Site: Phoenix, AZ
| | Expungement |
17-00756 | 10/02/2018 | Claimant(s): David Morin Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Windsor Street Capital Respondent Lawyers(s): John Stalanski, CCO Arbitrator(s): R. Lee Britton Jr., Montie G. Grimes, Jonathan Charles Day Hearing Site: Houston, TX
| | $287,186 |
17-01933 | 08/31/2018 | Claimant(s): Applied Medical Research Inc. Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): USAA Financial Advisors. Respondent Lawyers(s): Theodre C. Schultz Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX
| | $0 |