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FINRA Awards for Jim Geiger

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Displaying 31-38 out of 38 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0532210/10/2011Claimant(s): Jayakumar Muthukamatchi, Jayakumar Muthukamatchi IRA
Claimant Lawyers(s): Jayakumar Muthukamatchi
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Ira G. Rosenstein
Arbitrator(s): Jim Geiger
Hearing Site: Wilmington, DE
Checkmark Icon$0
10-0036106/09/2011Claimant(s): Diane Croce, Pasquale Croce
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Jim Geiger, Richard F. Bieker, Eugene M. Schloss
Hearing Site: Philadelphia, PA
Checkmark Icon$1,520,000
09-0695105/20/2011Claimant(s): David F Fleming IRA, David and Carmeletta Fleming, David F Fleming & Carmeletta Fleming Tr
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Gary Aday, Morgan Keegan & Company.
Respondent Lawyers(s): Larry Polk
Arbitrator(s): Jim Geiger, E. William Pastor, Randolph Guggenheimer
Hearing Site: Little Rock, AR
Checkmark Icon$170,000
10-0171911/09/2010Claimant(s): Eric Schiff
Claimant Lawyers(s): Eric Howard Schiff
Respondent(s): Anthony Sarracino, Anthony Viviano, Randle Copeland, Rodger Riney, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
Checkmark Icon$163
08-0360811/25/2009Claimant(s): Cheryl Radey, Frank Radey, Patricia Radley
Claimant Lawyers(s): Frank H. Radey
Respondent(s): J. B. Hanauer & Co.
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Jim Geiger, Dale A. Pope, Mary L. Sims
Hearing Site: Philadelphia, PA
Checkmark Icon$0
04-0499204/23/2009Claimant(s): Clark C. Coulston and Lucille Coulston
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
Checkmark Icon$0
04-0414002/22/2008Claimant(s): Patricia McEvoy
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Gregory Wagner, Marcel Wagner, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe
Arbitrator(s): Jim Geiger, Fred Shinagel, Linda T. Pellegrino
Hearing Site: Newark, NJ
Checkmark IconStipulated Award and Expungement
06-0259412/06/2007Claimant(s): Louie Kau Wang and June Ting Wang
Claimant Lawyers(s): Joseph F. Kornicki
Respondent(s): Howard Moses, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jim Geiger, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
Checkmark Icon$0

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