| 10-00565 | 09/14/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Christopher Benedict
Respondent Lawyers(s): Christopher N. Benedict
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | |
| 09-01760 | 08/27/2010 | Claimant(s): Alvin Trenk
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Joseph B. Russell, Brian F Loveman, Stevan J. Bosses
Hearing Site: New York, NY
|  | $0 |
| 09-00711 | 08/18/2010 | Claimant(s): Northern Lights Fund Trust
Claimant Lawyers(s): John Lekas
Respondent(s): Albert Lowenthal, Angus Oughtred, Dennis Mcnamara, Elaine Roberts, Jeffrey Alfano, Oppenheimer & Co.., Lawrence Spaulding
Respondent Lawyers(s): Robert J. Bocko
Arbitrator(s): Joyce L. Tyler, Nancy E. Hochman, Harold J. Schleef
Hearing Site: Portland, OR
| | Stipulated Award and Expungement |
| 08-02792 | 08/11/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Bruce Gropper, Morton Gropper
Respondent Lawyers(s): Bradford M. Gucciardo
Arbitrator(s): Domitilia M. dos Santos, Antonio Concepcion, John Murray Carroll
Hearing Site: New York, NY
| | |
| 09-02279 | 07/28/2010 | Claimant(s): Joseph Sproviero
Claimant Lawyers(s): David Liebrader
Respondent(s): Oppenheimer & Co.., Kevin Fay
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Daniel J. McCarthy, Piedad A. Bernikow, Gerald Joseph Coughlin
Hearing Site: Newark, NJ
| | $0 |
| 09-02156 | 07/22/2010 | Claimant(s): Jon Dame and Nancy Powlowsky - JTWROS
Claimant Lawyers(s): Sean T. Carnathan
Respondent(s): J Maxwell, Oppenheimer & Co..
Respondent Lawyers(s): Deborah L. Thaxter, Matthew T. McLaughlin
Arbitrator(s): Susan E. Maloney, Andrew Wayne Wunsch, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 09-04541 | 07/15/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana H. Sur
Respondent(s): Lawrence Wood
Respondent Lawyers(s): Lawrence Todd Wood
Arbitrator(s): Nicholas John Taldone
Hearing Site: Atlanta, GA
| | |
| 09-04587 | 06/29/2010 | Claimant(s): James P. Pache Trust
Claimant Lawyers(s): Craig W. Horn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $8,000 |
| 09-00351 | 06/17/2010 | Claimant(s): Cheryl Katz
Claimant Lawyers(s): Mark T. Starkman
Respondent(s): Oppenheimer & Co.., Stanley Wong, Commerce Capital Markets
Respondent Lawyers(s): Diana Sur, James A. McGovern, Michael S. Zullo
Arbitrator(s): James Pasquale Nunciato, Kathleen Hoey Gorr, Ruth A. Ihne
Hearing Site: Albany, NY
| | $0 |
| 09-04809 | 06/08/2010 | Claimant(s): Frederick Visconti, Mary Visconti
Claimant Lawyers(s): Richard De Vita
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Brian J. Burstin, James R. MacCrate, Brian R. Cohen
Hearing Site: New York, NY
| | $0 |
