| 17-01929 | 01/17/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Megan Christensen
Respondent(s): Richard Tighe
Respondent Lawyers(s): Richard Lyden Tighe
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 16-03418 | 03/10/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jeffrey Ickes
Respondent Lawyers(s): Jeffrey Scott Ickes
Arbitrator(s): Jim Geiger
Hearing Site: Wilmington, DE
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| 16-00922 | 09/12/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Russell Goldstein
Respondent Lawyers(s): Russell Lee Goldstein
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 15-00140 | 04/12/2016 | Claimant(s): Robert Bowman
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): Jim Geiger, John P. Azzopardi, Donald S. Bauman
Hearing Site: Philadelphia, PA
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| 15-03077 | 04/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Lance Slater
Respondent Lawyers(s): Lance E Slater
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 15-00843 | 12/16/2015 | Claimant(s): Susan Poller-Newman
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 12-01957 | 12/04/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Lewis Lucarine
Respondent Lawyers(s): Lewis J. Lucarine
Arbitrator(s): Jim Geiger, Diane Ciccone, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
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| 14-02722 | 05/29/2015 | Claimant(s): John Nardone, Morgan Stanley
Claimant Lawyers(s): Chan H. Nam
Respondent(s): Elizabeth Lastowski
Respondent Lawyers(s): Christopher Jones
Arbitrator(s): Jim Geiger, Stephen T. Mayhew, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00877 | 10/30/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John K. Wells
Respondent(s): Matthew MacMichael
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Jim Geiger, David Marcus, Gregory J. Spadea
Hearing Site: Philadelphia, PA
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| 13-02956 | 09/26/2014 | Claimant(s): Carly Mccarty
Claimant Lawyers(s): Stephen R. Bosin
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Jim Geiger, John T. Hausladen, Gary I. Kravis
Hearing Site: Philadelphia, PA
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