| 16-03181 | 01/29/2018 | Claimant(s): Emanuel De Oliveira, Francys De Oliveira
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Garcia
Respondent Lawyers(s): Russell L. Forkey
Arbitrator(s): Joseph Benalt, Peter A. Roche, Ivy Robin Ginsberg
Hearing Site: Miami, FL
|  | $0 |
| 15-01027 | 11/22/2017 | Claimant(s): Madeline Garramone
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Glenn King, Royal Alliance Associates.
Respondent Lawyers(s): Glenn R. King, Steven E. Mellen
Arbitrator(s): Robert E. Anderson, Robert T. Costello, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $200,300 |
| 15-03469 | 11/13/2017 | Claimant(s): Howard Brinkerhoff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Timothy Leahy
Respondent Lawyers(s): Timothy Francis Leahy
Arbitrator(s): I. Douglas Dunipace, George W. Harding, Garnett Sailor
Hearing Site: Phoenix, AZ
| | $50,000 |
| 16-01496 | 11/10/2017 | Claimant(s): Estate of Michael Williams
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jaimeson
Arbitrator(s): Tina E. Patterson, James Michael Belk, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $600 |
| 15-02953 | 10/25/2017 | Claimant(s): Arthur Goolsby, Benjamin Dumas, Christine Daniels, Ernestine Fulford, Glenda Bozeman, James Bozeman, Joseph Dumas, Joyce Grogan, Shirley Fulford, Summer Bozeman, Susan Dumas, Terry Fulford
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jason Parker
Respondent Lawyers(s): Jason Charles Parker
Arbitrator(s): Brock B. Gordon
Hearing Site: Atlanta, GA
| | $5,143,840 |
| 17-00071 | 10/24/2017 | Claimant(s): Carlos Nieves
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
| | $22,103 |
| 16-00485 | 10/06/2017 | Claimant(s): Edward Villella, Mary Villella
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Martorana
Arbitrator(s): Stephen D Kursman, Michael S. Berman, Joseph Weinkle
Hearing Site: Pittsburgh, PA
| | Expungement |
| 15-03232 | 09/26/2017 | Claimant(s): Anthony Listro, Gloria Listro
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors, Richard Galgano
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 17-00296 | 09/19/2017 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Anthony Fusco, Frank Fusco, Salvatore Caruso
Respondent Lawyers(s): Lawrence Gelber
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
| 17-00009 | 09/14/2017 | Claimant(s): Louis Adorian
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Lawrence M. Green, David Rich, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
