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FINRA Awards for James W. Geiger

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Displaying 10 out of 39 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0153503/12/2021Claimant(s): James W. Johnston, as Trustee of the
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): James W. Geiger, Richard Carl Smukler, Thomas Richard Blake
Hearing Site: Boca Raton, FL
Checkmark Icon$0
20-0179402/23/2021Claimant(s): Vincent Bonavia
Claimant Lawyers(s): Harris Freedman
Respondent(s): Valmark Securities.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
20-0100310/09/2020Claimant(s): Rodger Shay
Claimant Lawyers(s): Harris Freedman
Respondent(s): Austin Atlantic Capital Inc.
Respondent Lawyers(s): Kevin A. Rowe
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
19-0049311/26/2019Claimant(s): Robert Burns
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
19-0106108/07/2019Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Lauren Whetstone
Respondent(s): Frankie Gonzalez
Respondent Lawyers(s): Frankie Gonzalez
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
18-0347605/08/2019Claimant(s): Brett Oley
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
16-0339701/11/2019Claimant(s): Ana Bury, Ana Sepulveda, Ernest Bury Sepulveda, John Bury Garcia, John Bury Sepulveda, Mattew Bury Lugo, Patricia Bury Lugo, The Estate of John L. Bury Teasdale
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire, Peter G. Neiman, Roberto C. Quinones
Arbitrator(s): James W. Geiger, Christine L. Stetson, Martin I Jaffe
Hearing Site: San Juan, PR
Checkmark IconExpungement
14-0273101/29/2018Claimant(s): Maemar Holdings Corp.
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Jose Ramos Rios, Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): James W. Geiger, Brian P. Jakes, George Pinckney Shingler
Hearing Site: San Juan, PR
Checkmark IconExpungement
15-0160612/26/2017Claimant(s): Donovan Essen, Palm City Family Dental Care Profit Shar
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Duane Goodell, Triad Advisors.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): James W. Geiger, Carl Shechter, Ronald W. Weissman
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
15-0234712/18/2017Claimant(s): Jerome Courville, Laurence Courville, Raoul Courville, Courville and Company
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services., ING Financial Partners.
Respondent Lawyers(s): Benjamin Biard, Howard M. Klausmeier
Arbitrator(s): James W. Geiger, Kenneth H. Koch, Gabriel Xavier Martinez
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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