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FINRA Awards for Oppenheimer & Co..

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Displaying 71-80 out of 308 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0204301/03/2020Claimant(s): Mitchell Hassenbein
Claimant Lawyers(s): Faun Marie Phillipson
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
18-0274312/20/2019Claimant(s): Rochelle Taragano
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Linda Ashley, Clarence Smith, Amy Jill Baranoff
Hearing Site: New York, NY
Checkmark Icon$0
18-0409211/05/2019Claimant(s): Marc Menton
Claimant Lawyers(s): Alan Baskin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Jay Lawrence Witkin, Michael Kelley, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
19-0028910/28/2019Claimant(s): Brian Rener
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik, John T. McGuire
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
19-0014810/14/2019Claimant(s): William Elmore
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
19-0079108/13/2019Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): James Shea
Respondent Lawyers(s): Paul V. Fernicola
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
19-0056406/26/2019Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Christopher Coulter
Respondent Lawyers(s): Christopher Kevin Coulter
Arbitrator(s): William M. Azkoul
Hearing Site: St. Louis, MO
18-0249306/20/2019Claimant(s): Arthur Rahmani, Jacqueline Palmer
Claimant Lawyers(s): Jackie Palmer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Richard M. Norman, Thomas R. Watkins, Abraham Semaila Kamara
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
19-0013106/17/2019Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Dennis Ayre
Respondent Lawyers(s): Dennis Phillip Ayre
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
19-0010105/03/2019Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Ryan Capatosto
Respondent Lawyers(s): Ryan Lawrence Capatosto
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA

308 Results

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