| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
|  | $1,379,400 |
| 17-00204 | 05/10/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Thomas Fayad
Respondent Lawyers(s): Thomas M. Fayad
Arbitrator(s): Mary P. Bass
Hearing Site: New York, NY
| | |
| 15-03006 | 04/25/2017 | Claimant(s): Baynes Family Trust, Jack A. and Sarah Cohen Family Trust
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Daniel Levin, Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Neil S. Jasper, Michael Joseph Desmond, DeMarlo Matine Sims
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02169 | 04/20/2017 | Claimant(s): Carol Cohen, Martin Cohen
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Annamaria Boccia Smith, Benjamin L. Anderson, Steven Hale Zousmer
Hearing Site: New York, NY
| | Expungement |
| 16-00310 | 04/06/2017 | Claimant(s): John Summerfield, John A. Summerfield IRA, John A. Summerfield Trust
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona Esq.
Arbitrator(s): Howard Z. Gopman, Michael S. Jordan, Seymour Andrew Newman
Hearing Site: Chicago, IL
| | Expungement |
| 16-02542 | 03/13/2017 | Claimant(s): Joseph Motley
Claimant Lawyers(s): Joseph Adrian Motley
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Travis McGregor
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
| | |
| 16-02560 | 03/02/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): William Fritz
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 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 |
| 15-01241 | 10/21/2016 | Claimant(s): Michael Rose, The Amended Michael I. Rose Rev Living T
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Michael Lau, Herbert Branitsky, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | $13,050 |
| 15-03202 | 08/30/2016 | Claimant(s): Jason Savey
Claimant Lawyers(s): Michael G. Gibson
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Steven T. Stern, Jeffrey H. Farrar, Sean Alan D'Amico
Hearing Site: Hartford, CT
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