| 12-00061 | 06/29/2012 | Claimant(s): Jane C L Goichman Rollover IRA, Henry and Jane Goichman Trust
Claimant Lawyers(s): Jane C. L. Goichman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
|  | $22,524 |
| 10-00502 | 12/13/2011 | Claimant(s): Carmela Di Gregorio
Claimant Lawyers(s): Thomas R. Catanese
Respondent(s): Oppenheimer & Co.., Ronald Kunze
Respondent Lawyers(s): Diana H. Sur, Robert J. Girard
Arbitrator(s): John E. Ohashi, Elizabeth A. Copley, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04145 | 10/17/2011 | Claimant(s): James Fraser, Nancy Fraser
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Dean Smith, Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): Stephen D Kursman, William M. Azkoul, Anthony Allen Mogle
Hearing Site: Detroit, MI
| | $52,500 |
| 10-01631 | 12/20/2010 | Claimant(s): Susan Manners
Claimant Lawyers(s): Susan M. Manners
Respondent(s): Oppenheimer & Co.., Stephen Wilshinsky
Respondent Lawyers(s): Diana H. Sur, Stephen J. Wilshinsky
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | $0 |
| 09-04541 | 07/15/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana H. Sur
Respondent(s): Lawrence Wood
Respondent Lawyers(s): Lawrence Todd Wood
Arbitrator(s): Nicholas John Taldone
Hearing Site: Atlanta, GA
| | |
| 09-04587 | 06/29/2010 | Claimant(s): James P. Pache Trust
Claimant Lawyers(s): Craig W. Horn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $8,000 |
| 09-03445 | 12/03/2009 | Claimant(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
| | |
