| 18-01452 | 04/19/2019 | Claimant(s): Alfred Bonardi
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Morgan Stanley DW Inc., Oppenheimer & Co.., Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Gina Shlaferman, Joelle A. Simms, John T. McGuire, Randi Perry Spallina
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 18-03603 | 03/11/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Geoffrey Johnston
Respondent Lawyers(s): Steven Kahlenberg
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 18-02592 | 01/30/2019 | Claimant(s): Ivan Shore
Claimant Lawyers(s): John Coster
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Madelyn A. Levy, Mary Ellen Burns, Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 18-01909 | 01/23/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Justin M. Garbaccio
Respondent(s): Derrick Beard, DuSable Group International dba DGI INC
Respondent Lawyers(s): Corporate Office, Derrick Beard
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Las Vegas, NV
|  | $0 |
| 18-01453 | 01/18/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Terry Bennett
Respondent Lawyers(s): David R. Heyboer
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 18-00778 | 01/08/2019 | Claimant(s): Donald Simpson
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Simeon B. Reimonenq, Maryanne M. Esser, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | $250,495 |
| 17-03404 | 01/07/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Donald A. Corbett
Respondent(s): Francis Roche
Respondent Lawyers(s): David Commins
Arbitrator(s): Nancy Hutt, John J. Fitzpatrick, James G. Gillivan
Hearing Site: San Francisco, CA
| | |
| 15-03079 | 10/11/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Brandon Riley
Respondent(s): Gabriel Block
Respondent Lawyers(s): Gabriel Block
Arbitrator(s): Richard D. Chusid, Neal D. Baker, Bryan David Glass
Hearing Site: New York, NY
| | |
| 18-02091 | 10/08/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Roger Bacon
Respondent Lawyers(s): Roger Mosley Bacon
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 18-00493 | 09/27/2018 | Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan C. Uretsky
Respondent(s): Oppenheimer & Co.., Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel, John T. McGuire
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
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