23-02946 | 11/19/2024 | Claimant(s): Robin Brubacher Claimant Lawyers(s): William E. Mahoney Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA
| | |
22-02499 | 11/30/2023 | Claimant(s): Arnold Key, Stephanie Hicks, Susan Tilley, Michael Atkins, Frances Atkins' Estate, Stephanie Hicks IRA Claimant Lawyers(s): Matt E. Wolper Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): C Marcus Harris, Richard H. Potter, John Russell Barlow Hearing Site: Charlotte, NC
| | $0 |
23-00137 | 11/10/2023 | Claimant(s): Frances Norman, Joe Norman, Joyce Bowman, Rita Manuel, William Bowman, Frances D. Norman IRA, Joe Bill Norman IRA, Joyce T. Bowman IRA, Rita Manuel IRA, William G. Bowman IRA Claimant Lawyers(s): Matt Wolper Respondent(s): James Woods, Oppenheimer & Co.., Julie Jones Respondent Lawyers(s): James Wallace Woods, Julie Adelle Jones, William E. Mahoney Arbitrator(s): James Michael Belk, Daniel F. Piar, Sharon Lanette Ervin Hearing Site: Charlotte, NC
| | $0 |
22-00904 | 11/03/2023 | Claimant(s): Pamela Snow, Terry Snow Claimant Lawyers(s): Matt Wolper Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): C Marcus Harris, Frank V. Tutone, Alicia Mitchell-Mercer Hearing Site: Charlotte, NC
| | $0 |
22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA Claimant Lawyers(s): Matt Wolper Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk Hearing Site: Charlotte, NC
| | Settlement |
22-02948 | 06/21/2023 | Claimant(s): Nancy Everidge Claimant Lawyers(s): Stefan Apotheker Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, John J. Woods, Julie Adelle Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney Arbitrator(s): Charles L.A. Terreni, Victoria Liccione, Sharon Lanette Ervin Hearing Site: Charlotte, NC
| | Withdrawn |
21-03115 | 05/04/2023 | Claimant(s): Jerry Willoughby, John Disosway, Sylvia Majani, Victor Hooper, John Disosway & Sylvia Majani, Vickie L. Earle Trust, Victor J. Hooper Irrevocable Trust FBO Claimant Lawyers(s): John S. Chapman Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): Gayle B. Carlson, Anthony Richard Sanchez, Edgar Vazquez-Cruz Hearing Site: Orlando, FL
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21-02816 | 03/02/2023 | Claimant(s): Bruce Cullen, Sr. and Rosemarie Cullen Claimant Lawyers(s): Philip L. Vujanov Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): Barbara M. Zak, Benjamin F. Breslauer, Mary M. O'Neil Hearing Site: Los Angeles, CA
| | $1,483,670 |
21-02234 | 09/06/2022 | Claimant(s): Billy Loveless, Donald Robinson, Douglas Kasemeier, Rhett Rainey, Robert Burgner, Robert Goodman, Sharon Padden, Timothy Padden, Wesley Callaway, Toucan Holdings L.P., Kelley A. Rainey Trust, The Burgner Family Charitable Remainder Claimant Lawyers(s): Philip L. Vujanov Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): John D. Mattingly, George Pinckney Shingler, Jennifer Chandler Garvin Hearing Site: Atlanta, GA
| | $36,745,100 |
09-07047 | 01/29/2013 | Claimant(s): Louis Pitch and Donna Pitch Claimant Lawyers(s): Timothy J. Dennin Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): Alida D. Camp, Jerome M Shafer, Scott W. Mulford Hearing Site: New York, NY
| | $2,450,000 |