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FINRA Awards for Jim Geiger

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Displaying 10 out of 38 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0064511/13/2023Claimant(s): Thomas Sowers
Claimant Lawyers(s): Thomas S. Sowers
Respondent(s): Morgan Stanley, Geoffrey Korwan
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Jim Geiger, Michael J. Ahlstrom, Todd B. Johnson
Hearing Site: Charleston, WV
Checkmark Icon$0
20-0364604/07/2023Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal
Hearing Site: Providence, RI
Checkmark IconExpungement
22-0008110/17/2022Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
Checkmark IconExpungement
19-0099410/27/2021Claimant(s): Francesco Umbriaco
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Allen Wagner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jim Geiger, Thomas R Nathan, Jason L Pearlman
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
20-0269404/26/2021Claimant(s): Nicholas Losinno
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): LPL Financial LLC, Thomas Fross
Respondent Lawyers(s): Tracey Salomon-Smith
Arbitrator(s): Jim Geiger, Barry Goldman, James T. Carney
Hearing Site: Pittsburgh, PA
Checkmark Icon$0
20-0154102/24/2021Claimant(s): Francis Hayden
Claimant Lawyers(s): Gregory L. Smith
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
Checkmark Icon$300
20-0046810/30/2020Claimant(s): Tracey Drabant
Claimant Lawyers(s): Tracey Drabant
Respondent(s): Jonathan Kuhn, Allegheny Investments, Ltd.
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): Jim Geiger, Richard W. Dissen, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
Checkmark Icon$5,000
20-0001710/29/2020Claimant(s): Chantal Pitaud
Claimant Lawyers(s): Chantal Pitaud
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Jim Geiger, Joseph J. Dougherty, Geoffrey A. Drucker
Hearing Site: Richmond, VA
Checkmark Icon$0
17-0294211/06/2019Claimant(s): Jerome Weiner, Sandra Weiner
Claimant Lawyers(s): Jerome Weiner
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Jim Geiger, Alan J. Blocher, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
Checkmark Icon$0
16-0037810/09/2018Claimant(s): Jerry Duke
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Ralph Principe, America's Choice Equities LLC
Respondent Lawyers(s): Michael Gilmore
Arbitrator(s): Richard E. Lauziere, Jim Geiger, Joseph J. Dougherty
Hearing Site: Wilmington, DE
Checkmark Icon$0

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