Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 15-02033 | 04/25/2017 | Claimant(s): Steven Hedrick Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): James King, Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Robert H. Putnam, Michael E. Weddington Hearing Site: Raleigh, NC |  | Expungement |
| 16-02988 | 04/20/2017 | Claimant(s): The Estate Of T Florida Seneca Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): T.R. Bynum Arbitrator(s): Peter L. Michaelson Hearing Site: Newark, NJ | | Dismissed by Rule 12206 |
| 16-03513 | 04/07/2017 | Claimant(s): Lorenzo Grandioso Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Edward Jones Respondent Lawyers(s): Justin Joseph D'Elia Arbitrator(s): Micalyn S. Harris Hearing Site: Newark, NJ | | Dismissed by Rule 12206 |
| 14-02887 | 03/24/2017 | Claimant(s): Sarah Harmon Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Robert T. Allen Hearing Site: Raleigh, NC | | $0 |
| 16-01123 | 03/09/2017 | Claimant(s): Anthony Pryor Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Geoff Beckham Arbitrator(s): George W. Harding, Herbert Liberman, Walter J. Huntley Hearing Site: Albuquerque, NM | | $357,000 |
| 16-01441 | 03/08/2017 | Claimant(s): Rhonda Grallnick Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Kevin Lewis Arbitrator(s): Rochelle K. Kaplan, Laura A. Kaster, Gerald S. Smith Hearing Site: Philadelphia, PA | | Dismissed by Rule 12206 |
| 15-00109 | 02/22/2017 | Claimant(s): Ellie Stoller, Lee Stoller Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): D. Bruce Shine, James A. McIntosh, L. Wilford Fuqua Hearing Site: Nashville, TN | | Expungement |
| 15-03338 | 02/15/2017 | Claimant(s): Thurman Willis Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Matthew E. Wolper Arbitrator(s): Daniel E. Gulden, Samuel Appel, Brock Bingham Gordon Hearing Site: Atlanta, GA | | $0 |
| 16-00430 | 02/14/2017 | Claimant(s): Howard Schreibstein, Wendy Schreibstein Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Ellen Sheridan- Cona Arbitrator(s): Mark H. Stein Hearing Site: Philadelphia, PA | | $23,650 |
| 13-00215 | 02/06/2017 | Claimant(s): Richard Strang Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Robert Marks Respondent Lawyers(s): Kevin J. Werner Arbitrator(s): James A. Sigler, Mark S. Priver, Michael M. Hachigian Hearing Site: Los Angeles, CA | | $29,920 |