Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 17-00015 | 09/11/2017 | Claimant(s): Don Monteath Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Marc Kalish Hearing Site: Phoenix, AZ |  | Dismissed by Rule 12206 |
| 16-00333 | 08/15/2017 | Claimant(s): Michael Darius, Miriam Darius Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Stuart H. Dunn, Tina E. Patterson, Eileen B. Vernon Hearing Site: Charleston, WV | | $0 |
| 16-01522 | 07/24/2017 | Claimant(s): Steve Boehm IRA Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): K.C. Ward Financial Respondent Lawyers(s): Louis Ward Arbitrator(s): Terry F. Peppard Hearing Site: Milwaukee, WI | | $11,610 |
| 16-03452 | 07/13/2017 | Claimant(s): Kenneth Carter Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Jonathan A. Scobie Arbitrator(s): Arthur Neil Tolciss Hearing Site: New York, NY | ||
| 16-03318 | 06/22/2017 | Claimant(s): Nancy Savage Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Jeffrey Drapala, Raymond James Financial Services. Respondent Lawyers(s): Erin K. Linehan Arbitrator(s): Linda M. Foster-Wells Hearing Site: Boca Raton, FL | | Expungement |
| 16-01479 | 06/14/2017 | Claimant(s): Robert Yun Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Mark Karow, Legend Securities. Respondent Lawyers(s): Mark Alan Karow, Sergio Caruso Arbitrator(s): Susan Manca Hearing Site: New York, NY | | $0 |
| 16-03420 | 05/25/2017 | Claimant(s): Kenneth Carter Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Jonathan A. Scobie Arbitrator(s): Morton S. Bunis Hearing Site: New York, NY | ||
| 16-00381 | 05/11/2017 | Claimant(s): Mark Bell Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): TD Ameritrade. Respondent Lawyers(s): Simeon M. Schopf Arbitrator(s): Bertrand M. Lanchner, Stephen A. Weiner, Marion F. Posner Hearing Site: New York, NY | | $0 |
| 16-02107 | 05/05/2017 | Claimant(s): Velma Lockley Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Richard W. Cutler Hearing Site: New York, NY | | Dismissed by Rule 12206 |
| 15-00010 | 05/03/2017 | Claimant(s): Steven Griff Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Robert T. Allen, John A. Baynes, Brock B. Gordon Hearing Site: Charlotte, NC | | $0 |