| 18-00493 | 09/27/2018 | Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan C. Uretsky
Respondent(s): Oppenheimer & Co.., Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel, John T. McGuire
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
| | |
| 18-01548 | 09/19/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Christopher Callagy
Respondent Lawyers(s): Christopher Rice Callagy
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | |
| 18-00331 | 08/07/2018 | Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan Uretsky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
| | |
| 17-02182 | 07/18/2018 | Claimant(s): Richard Grobman
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Guillermo L. Bosch, Sally Cheung, David Arthur Christiansen
Hearing Site: Philadelphia, PA
| | |
| 17-03297 | 07/11/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Michael Miser
Respondent Lawyers(s): Michael George Miser
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | |
| 17-02332 | 06/22/2018 | Claimant(s): Stephen Seremetis
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
| | |
| 17-02102 | 06/12/2018 | Claimant(s): Joseph Grusczak, William DeGraff, Joseph Grusczak IRA, William DeGraff IRA
Claimant Lawyers(s): Jeffrey Hellman
Respondent(s): Oppenheimer & Co.., Richard Baum, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Ralph Izzo
Arbitrator(s): Robert L. Chase, Ira A. Auerbach, David R. Foley
Hearing Site: Hartford, CT
|  | Expungement |
| 16-03687 | 06/04/2018 | Claimant(s): Robert Dekas
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Michael S. Matek, Anthony P. Pecora, Richard A. Berman
Hearing Site: Chicago, IL
| | $800,000 |
| 16-01829 | 05/23/2018 | Claimant(s): Bonnie Kaplan IRA, Eric Kaplan and Bonnie Kaplan JTWROS, E.Kaplan Ttee Multidisc.Bus. App. 401(k)
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Richard J. Kaplan, Michael J. Quarequio, Sidney J. Wartel
Hearing Site: Boca Raton, FL
| | $862,117 |
| 16-02574 | 05/23/2018 | Claimant(s): Arlene H. Haft IRA, Richard J. Haft IRA, Richard J. Haft Living Trust
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): George G. Kurschner, Mark I. Roth, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
