| 12-01510 | 03/21/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Lawrence Schnurmacher
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): George J. Blutstein
Hearing Site: Boca Raton, FL
| | |
| 12-02364 | 03/14/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Robert Blaine
Respondent Lawyers(s): Robert D. Blaine
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 12-03001 | 03/13/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Richard Mercier
Respondent Lawyers(s): Richard Mark Mercier
Arbitrator(s): Lester M. Rosenberg
Hearing Site: Miami, FL
| | |
| 12-03539 | 03/12/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): William Selvaggi
Respondent Lawyers(s): William Selvaggi
Arbitrator(s): William Edward Buck
Hearing Site: Houston, TX
| | |
| 10-04513 | 03/06/2013 | Claimant(s): William Adams
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Melanie S. Cherdack, Elena G. Rodriguez, Ronald Stephen Lieberman
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 11-02623 | 02/12/2013 | Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08
Claimant Lawyers(s): Charles N. Freiberg
Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn
Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod
Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander
Hearing Site: San Francisco, CA
| | $934,193 |
| 09-00878 | 01/30/2013 | Claimant(s): US Airways.
Claimant Lawyers(s): Robert W. Henoch
Respondent(s): Oppenheimer & Co.., Vincent Woo
Respondent Lawyers(s): Suzan Jo, Thomas J. Hennessey
Arbitrator(s): Catherine I. Gulevich, James S. Hazard, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000,000 |
| 09-07047 | 01/29/2013 | Claimant(s): Louis Pitch and Donna Pitch
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Alida D. Camp, Jerome M Shafer, Scott W. Mulford
Hearing Site: New York, NY
| | $2,450,000 |
| 09-05596 | 01/17/2013 | Claimant(s): Lloyd Gillespie
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co.., Joshua Barg, Aegis Capital Corp.
Respondent Lawyers(s): Andrew R. Harvin, Michael H. Ference, Ted Poretz
Arbitrator(s): Donald K. Eckhardt, James M. Alexander, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $1,074,600 |
| 12-01077 | 12/06/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Stanley Wong
Respondent Lawyers(s): Stanley Wong
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
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