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FINRA Awards for Oppenheimer & Co..

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Displaying 151-160 out of 308 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0066803/18/2015Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Patrick Mcgrath
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
12-0088903/13/2015Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Roger Coe
Respondent Lawyers(s): Scot Schneiderman
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Joseph C. Tully
Hearing Site: Boston, MA
13-0246002/13/2015Claimant(s): Rose LaBolle
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher Tovar
Arbitrator(s): Jeffry M. Bauer, Edward A. Porter, Peter C. Rageas
Hearing Site: Detroit, MI
Checkmark Icon$299,858
10-0409301/13/2015Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Walter A. Saurack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Joseph A. Forgione, Randolph Guggenheimer, Arthur Best
Hearing Site: New York, NY
14-0186312/31/2014Claimant(s): Stuart Siegel
Claimant Lawyers(s): Edwin B. Kagan
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leon T. Kogan
Arbitrator(s): Brian G. Mooney
Hearing Site: Tampa, FL
12-0020610/17/2014Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Joseph Vaccaro, Fusion Analytics Securities LLC
Respondent Lawyers(s): David Richan, Joseph Marc Vaccaro
Arbitrator(s): Julian F. Santos, Caryl D. Feldmann, Peter C. Salerno
Hearing Site: New York, NY
14-0082409/26/2014Claimant(s): Carol Oliver
Claimant Lawyers(s): Courtney M. Yeager
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark Icon$14,600
13-0305507/11/2014Claimant(s): Richard Borish
Claimant Lawyers(s): Richard Borish
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): Linda I. Thomas
Hearing Site: Seattle, WA
13-0345507/11/2014Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Brendon Lyden
Respondent Lawyers(s): Brendon John Lyden
Arbitrator(s): Joel P. Mellis
Hearing Site: New York, NY
10-0446507/02/2014Claimant(s): Daniel Becerra
Claimant Lawyers(s): S. Adam Spiewak
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Basil Lewis, Richard J. Stall, Joseph C. Watson
Hearing Site: Los Angeles, CA

308 Results

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