17-03338 | 07/19/2018 | Claimant(s): Michael Loesberg Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): David I. Goldblatt Hearing Site: New York, NY
| | $0 |
16-01588 | 07/09/2018 | Claimant(s): Elliot Gallin SS 401K Plan Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Morgan Stanley Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Robert Dean McKinley Hearing Site: Los Angeles, CA
| | $0 |
17-00630 | 07/03/2018 | Claimant(s): Chris Schlatter Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Barry Kiront, Blake Kiernan, Stephen Kiront, Woodstock Financial Group. Respondent Lawyers(s): Blake H. Kiernan, John E. Lawlor, Martin P. Unger Arbitrator(s): Thomas F. Mahoney, David J. Hase, Mark A. Frankel Hearing Site: Des Moines, IA
| | $105,000 |
17-01088 | 06/27/2018 | Claimant(s): Rodger Rickel Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Scottrade Inc. Respondent Lawyers(s): Kendra S. Canape Arbitrator(s): James Miles Goodwin Hearing Site: Seattle, WA
| | $0 |
17-02345 | 06/18/2018 | Claimant(s): Richard Walsh Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Trident Partners Ltd. Respondent Lawyers(s): Eric J. Sussman Arbitrator(s): Brett W. Olander Hearing Site: Minneapolis, MN
| | $16,778 |
15-00020 | 05/22/2018 | Claimant(s): Adam Goldstein, Jared Goldstein, Robert Goldstein, Estate of Herbert J. Goldstein Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Morgan Stanley, Eugene Desoiza Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Carl Shechter, Edward R. Niederriter, Steven E. Eisenberg Hearing Site: Boca Raton, FL
| | $36,984 |
15-03156 | 04/16/2018 | Claimant(s): Mark Slaughter Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Scottrade Inc. Respondent Lawyers(s): Philip J. Mackey Arbitrator(s): Gregory D. Hoffmann, Kenneth R. Starr, Andrew Michael Bonderud Hearing Site: Jacksonville, FL
| | $78,500 |
17-00778 | 04/13/2018 | Claimant(s): Mark Speck, Tonya Speck Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Mary E. Woytek, Mona Koppel Mitnick, Christopher M. McMurray Hearing Site: Washington, DC
| | $0 |
17-00773 | 02/27/2018 | Claimant(s): St. Anel Saint-Vilus Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Clive I. Morrick, Harrison Johnson Hearing Site: New York, NY
| | $0 |
16-00060 | 02/06/2018 | Claimant(s): Carl Osborne III IRA, Carl Osborne III SEP IRA, Susan Osborne SEP IRA Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Bruce Meyers, Meyers Associates, L.P. Respondent Lawyers(s): Bruce Meyers, Gregory S. Sparer Arbitrator(s): Brian J. Burstin, Charles F. Titterton, Jay Alan Kranis Hearing Site: New York, NY
| | $45,425 |