| 10-05445 | 08/21/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Gregory Dotter
Respondent Lawyers(s): Gregory Dotter
Arbitrator(s): Edward T. Borer, Jim Geiger, Bernard Herman, Glenn J. Hansen, Roger Frazier Cox, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 12-03242 | 05/06/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Brad Rude
Respondent Lawyers(s): Marc Durant
Arbitrator(s): Jim Geiger, John Joseph Borzi, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
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| 13-00759 | 12/12/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Anthony Wall
Respondent Lawyers(s): Anthony A. Wall
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 11-01131 | 09/17/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Carl Watts, James Nastasi, Richard Braitman, Steven Brettler
Respondent Lawyers(s): Michael J. Dunn, Samuel P. Mauch
Arbitrator(s): Jim Geiger, Jack H. McNairy, John James McGovern
Hearing Site: Philadelphia, PA
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| 12-04269 | 07/15/2013 | Claimant(s): John Garvey
Claimant Lawyers(s): Christina R. LoConte
Respondent(s): Bradford Bono
Respondent Lawyers(s): Kevin D. Galbraith
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-03123 | 02/06/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Brian Allen
Respondent Lawyers(s): Brian Allen
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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