| 19-03669 | 08/14/2020 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): David Hume
Respondent Lawyers(s): John E. Sutherland
Arbitrator(s): Catherine M. Gallagher
Hearing Site: Boston, MA
| | |
| 19-00018 | 07/29/2020 | Claimant(s): Ellin Einhorn IRA, Stuart M. Einhorn Rollover IRA
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Amanda M. Cole
Hearing Site: Jacksonville, FL
|  | Settlement |
| 19-03364 | 06/29/2020 | Claimant(s): Craig Goldstone
Claimant Lawyers(s): Craig Mitchell Goldstone
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Bernard S. Carrey, Kimberly A. Gilmour, Michael D Felton
Hearing Site: Boca Raton, FL
| | |
| 18-00054 | 06/15/2020 | Claimant(s): Luciano Borgia
Claimant Lawyers(s): Luciano Borgia
Respondent(s): National Securities Corporation, Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky, Sara Soto
Arbitrator(s): Thomas W. Allen, John Joseph Long, Charles J Goldman
Hearing Site: Boca Raton, FL
| | $0 |
| 19-03687 | 06/02/2020 | Claimant(s): Monica Chioffi
Claimant Lawyers(s): Monica C. Chioffi
Respondent(s): Oppenheimer & Co.., Steven Gordon
Respondent Lawyers(s): John T. McGuire, Steven A. Gordon
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Hartford, CT
| | $1,275 |
| 19-01163 | 05/07/2020 | Claimant(s): Sandra Dannenberg
Claimant Lawyers(s): Lars Soreide
Respondent(s): Oppenheimer & Co.., Sean Rooney
Respondent Lawyers(s): John T. McGuire, Neil S. Baritz
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $0 |
| 17-03296 | 03/10/2020 | Claimant(s): Jennifer Pavlik, Jon Pavlik, Jennifer Pavlik Roth IRA, Jon Pavlik Roth IRA, Edward J. Pavlik Rev Trust DTD 3/9/82
Claimant Lawyers(s): Edward Pavlik
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Steven H. Vogel, Michael R. Sherwin, Thomas P. Valenti
Hearing Site: Chicago, IL
| | Dismissed by Rule 12212(c) |
| 19-00814 | 02/25/2020 | Claimant(s): Joel Breiter
Claimant Lawyers(s): Angela Turiano
Respondent(s): Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): John T. McGuire, Omar Perez
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
| | |
| 17-03322 | 02/14/2020 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Andrew Lerner, Charles Shalmi, Logan Shalmi, Mark Garfinkel
Respondent Lawyers(s): Cory S. Zadanosky, Mark Steven Garfinkel
Arbitrator(s): Debra A. Byrne-Mathews, Alice J. Johnson, Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
| | |
| 19-02886 | 02/03/2020 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Michael Wilcheck
Respondent Lawyers(s): Michael Wayne Wilcheck
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Cincinnati, OH
| | |
