24-00091 | 05/24/2024 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): John McGuire Respondent(s): Zachary Taylor Respondent Lawyers(s): Zachary Ellis Taylor Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
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23-03515 | 03/12/2024 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Cory S. Zadanosky Respondent(s): Silvio Borrero Respondent Lawyers(s): Silvio Borrero Arbitrator(s): Robert G. Geeseman Hearing Site: Boca Raton, FL
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23-01178 | 01/05/2024 | Claimant(s): Christopher Lazos Claimant Lawyers(s): Jonathan Uretsky Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William H. Badinelli Arbitrator(s): Edward R. Niederriter, Marie G. Peterson, Leslie Bauknight Nixon Hearing Site: Boca Raton, FL
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23-01086 | 12/07/2023 | Claimant(s): Philip Arnheiter Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Morgan Stanley DW Inc., Wells Fargo Advisors Financial Network, Oppenheimer & Co.. Respondent Lawyers(s): Andrew Joyce, Deirdre Wolff, William H. Badinelli Arbitrator(s): Kenneth J. Horowitz, Jeffrey Zuckerman, Robert Andrew Sollazzo Hearing Site: Jersey City, NJ
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22-02499 | 11/30/2023 | Claimant(s): Arnold Key, Stephanie Hicks, Susan Tilley, Michael Atkins, Frances Atkins' Estate, Stephanie Hicks IRA Claimant Lawyers(s): Matt E. Wolper Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): C Marcus Harris, Richard H. Potter, John Russell Barlow Hearing Site: Charlotte, NC
| | $0 |
23-00137 | 11/10/2023 | Claimant(s): Frances Norman, Joe Norman, Joyce Bowman, Rita Manuel, William Bowman, Frances D. Norman IRA, Joe Bill Norman IRA, Joyce T. Bowman IRA, Rita Manuel IRA, William G. Bowman IRA Claimant Lawyers(s): Matt Wolper Respondent(s): James Woods, Oppenheimer & Co.., Julie Jones Respondent Lawyers(s): James Wallace Woods, Julie Adelle Jones, William E. Mahoney Arbitrator(s): James Michael Belk, Daniel F. Piar, Sharon Lanette Ervin Hearing Site: Charlotte, NC
| | $0 |
22-00904 | 11/03/2023 | Claimant(s): Pamela Snow, Terry Snow Claimant Lawyers(s): Matt Wolper Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): C Marcus Harris, Frank V. Tutone, Alicia Mitchell-Mercer Hearing Site: Charlotte, NC
| | $0 |
22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA Claimant Lawyers(s): Matt Wolper Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk Hearing Site: Charlotte, NC
| | Settlement |
22-02948 | 06/21/2023 | Claimant(s): Nancy Everidge Claimant Lawyers(s): Stefan Apotheker Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, John J. Woods, Julie Adelle Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney Arbitrator(s): Charles L.A. Terreni, Victoria Liccione, Sharon Lanette Ervin Hearing Site: Charlotte, NC
| | Withdrawn |
21-03115 | 05/04/2023 | Claimant(s): Jerry Willoughby, John Disosway, Sylvia Majani, Victor Hooper, John Disosway & Sylvia Majani, Vickie L. Earle Trust, Victor J. Hooper Irrevocable Trust FBO Claimant Lawyers(s): John S. Chapman Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): Gayle B. Carlson, Anthony Richard Sanchez, Edgar Vazquez-Cruz Hearing Site: Orlando, FL
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