19-03030 | 08/24/2020 | Claimant(s): Laurence Stanger Claimant Lawyers(s): Irwin Weltz Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): John T. McGuire Arbitrator(s): Eric Goldman Hearing Site: New York, NY
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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
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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
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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
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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
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