Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 15-03191 | 08/09/2016 | Claimant(s): Paulette Thomas Claimant Lawyers(s): David Neuman Respondent(s): MML Investors Services Respondent Lawyers(s): William P. Thornton Arbitrator(s): Nancy J. Cliff Hearing Site: Miami, FL |  | Dismissed by Rule 12206 |
| 15-02397 | 05/09/2016 | Claimant(s): David Smith Claimant Lawyers(s): David Neuman Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Alexander J. Nassar Arbitrator(s): Jim Geiger, Robert M. Singer, Patrick Leo Kennedy Hearing Site: Hartford, CT | | Dismissed by Rule 12206 |
| 15-00216 | 08/18/2015 | Claimant(s): Lizabeth Smith Claimant Lawyers(s): David Neuman Respondent(s): Century Securities Associates. Respondent Lawyers(s): James C. Browning Arbitrator(s): Robert L. Yeager Hearing Site: Dallas, TX | | $0 |
| 12-04007 | 10/21/2014 | Claimant(s): Don Herbert & Mary C. Herbert Trust Claimant Lawyers(s): David Neuman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David J. Butler Arbitrator(s): Kenneth M. Jackson, Arthur L. Tepper, Edwin Joseph Rehrman Hearing Site: Louisville, KY | | Expungement |
| 13-00888 | 06/20/2014 | Claimant(s): Trainor Trucking. Claimant Lawyers(s): David Neuman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): Jonathan B. Gilbert Hearing Site: Chicago, IL | | $0 |
| 12-02598 | 01/17/2014 | Claimant(s): Herbert Harbort Claimant Lawyers(s): David Neuman Respondent(s): David Lerner Associates. Respondent Lawyers(s): Michael G. Shannon Arbitrator(s): Robert Youdelman Hearing Site: New York, NY | | Expungement |
| 12-01571 | 10/11/2013 | Claimant(s): David Wasielewski Claimant Lawyers(s): David Neuman Respondent(s): Joel Blumenschein, Leonard Dunn, EZ Stocks., Freedom Investors Corp. Respondent Lawyers(s): Andrew G. Frank Arbitrator(s): Ralph M. Goren, James R. Schoenike, Fredric R. Dichter Hearing Site: Milwaukee, WI | | Expungement |
| 12-03720 | 08/16/2013 | Claimant(s): Annie Knight, David Knight Claimant Lawyers(s): David Neuman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jennifer L. Carpenter Arbitrator(s): Paul R. Meyer, William H. King, John Robert Oreskovich Hearing Site: Portland, OR | | Expungement |
| 12-02938 | 08/06/2013 | Claimant(s): Patricia Wilson Claimant Lawyers(s): David Neuman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Amanda C. Hawley Arbitrator(s): James M. Tipton Hearing Site: Dallas, TX | | Expungement |
| 11-04361 | 07/16/2013 | Claimant(s): Concetta Consales Claimant Lawyers(s): David Neuman Respondent(s): David Lerner Associates. Respondent Lawyers(s): Michael G. Shannon Arbitrator(s): Leslie Ruth Nydick Hearing Site: Newark, NJ | | Expungement |