| 18-01018 | 09/14/2018 | Claimant(s): Alan Jackson, Edwin Bishop
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David C. Franceski
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206 |
| 18-01270 | 09/10/2018 | Claimant(s): Raymond Richard
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Jean Baun
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $18,536 |
| 17-00219 | 04/03/2018 | Claimant(s): Brandon Oliver
Claimant Lawyers(s): Timothy C. Lynch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Jim Geiger, Timothy J. Wright, Ellen F. Kandell
Hearing Site: Baltimore, MD
| | Expungement |
| 15-02104 | 03/07/2018 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen, Robert Abrahamsen SER IRA, Robert & Lee Abrahamsen JTWROS
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Joseph Ninivaggi, Craig Scott Capital
Respondent Lawyers(s): Craig Taddonio, Joseph Ninivaggi
Arbitrator(s): Jim Geiger, Gregory Hunter Mathews, Peter L. Murray
Hearing Site: Augusta, ME
| | $65,000 |
| 16-01467 | 10/24/2017 | Claimant(s): Sandy Hirsch
Claimant Lawyers(s): Adam Green
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $63,349 |
| 16-01612 | 08/15/2017 | Claimant(s): Patricia Bohanon
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael R. Gaico
Arbitrator(s): Jim Geiger, Lawrence W. Arness, Mark Christian Travis
Hearing Site: Louisville, KY
| | Expungement |
| 15-02216 | 03/20/2017 | Claimant(s): Robert Thoma
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 14-00292 | 06/20/2016 | Claimant(s): Estate of Earl L. Everline, Karl J. EverlineTTee of Everline Family
Claimant Lawyers(s): Kelly Everline
Respondent(s): Raymond James Financial Services., Janney Montgomery Scott LLC
Respondent Lawyers(s): Amy E. Sparrow, Robert M. Rudnicki
Arbitrator(s): Elliot B. Platt, Jim Geiger, Mary L. Sims
Hearing Site: Philadelphia, PA
| | $0 |
| 15-03158 | 06/03/2016 | Claimant(s): Michael Stott
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Anthony Minerva, Daniel Dvorznak, Gregory Dean, Michael Valdini
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
| | $300 |
| 15-02397 | 05/09/2016 | Claimant(s): David Smith
Claimant Lawyers(s): David Neuman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Alexander J. Nassar
Arbitrator(s): Jim Geiger, Robert M. Singer, Patrick Leo Kennedy
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
