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FINRA Awards for Oppenheimer & Co..

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Displaying 271-280 out of 308 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0330203/05/2010Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Richard Riccio
Respondent Lawyers(s): Richard J. Riccio
Arbitrator(s): Burton M. Fendelman, Linda S. Cole, W. Jeffrey Weinlandt
Hearing Site: New York, NY
08-0374903/05/2010Claimant(s): Gilbert Millstein
Claimant Lawyers(s): Michael A. Korn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Romaine L. Gardner, Arnold Wagner, Tibor C. Klein
Hearing Site: New York, NY
09-0224602/25/2010Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Jeffrey Finder
Respondent Lawyers(s): Jeffrey C Finder
Arbitrator(s): Linda R. Alpert
Hearing Site: New York, NY
08-0330402/04/2010Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Sandra David Siller
Respondent Lawyers(s): Sandra A. David Siller
Arbitrator(s): Thomas L. Curran, Morton D. Siegel, Dale W. Oliver
Hearing Site: Ft. Lauderdale, FL
08-0223801/08/2010Claimant(s): Diane Resch
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Oppenheimer & Co.., Philip Cimino, William Resch
Respondent Lawyers(s): Arnold Y. Steinberg, Peter Byer
Arbitrator(s): Karl F. Meyers, Marc A. Winters, James G. Kirk
Hearing Site: Pittsburgh, PA
Checkmark IconStipulated Award and Expungement
09-0247712/29/2009Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Daniel Carriazo
Respondent Lawyers(s): Daniel J. Carriazo
Arbitrator(s): Joel Margolies, Harry Dressler, Harold F. Corrigan
Hearing Site: Miami, FL
09-0350512/17/2009Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): David Jeromin
Respondent Lawyers(s): David John Jeromin
Arbitrator(s): Charles E. Farnsworth
Hearing Site: San Francisco, CA
09-0130912/10/2009Claimant(s): Peter Lucido
Claimant Lawyers(s): Peter J. Lucido
Respondent(s): Oppenheimer & Co.., Mark Miriani
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Jeffry M. Bauer, Harvey Frank, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
Checkmark Icon$30,225
09-0322812/07/2009Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Gerald Chassang
Respondent Lawyers(s): Gerald D. Chassang
Arbitrator(s): Duncan H. Cameron
Hearing Site: Tampa, FL
09-0344512/03/2009Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana H. Sur
Respondent(s): Duffy Worth
Respondent Lawyers(s): Duffy John Worth
Arbitrator(s): Richard Slavin
Hearing Site: Hartford, CT

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