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FINRA Awards for James W. Geiger

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Displaying 21-30 out of 39 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0065709/11/2015Claimant(s): Said Mudafort Farah
Claimant Lawyers(s): Robert Pearce
Respondent(s): UBS Financial Services Inc Of P R
Respondent Lawyers(s): Wes Holston
Arbitrator(s): James W. Geiger, John D. Mattingly
Hearing Site: San Juan, PR
Checkmark Icon$600,250
14-0078008/28/2015Claimant(s): Pablo Aponte Diaz
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): OFS Securities., Oriental Financial Services Corp., Santander Securities LLC
Respondent Lawyers(s): Paul A. Rodriguez-Velez
Arbitrator(s): James W. Geiger
Hearing Site: San Juan, PR
Checkmark IconExpungement
14-0378705/08/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patricia E. Cowart
Respondent(s): Brian Berger
Respondent Lawyers(s): Brian Michael Berger
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
13-0181702/20/2015Claimant(s): Sadie's Surprise
Claimant Lawyers(s): Gary Menzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
13-0362111/17/2014Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Erin K. Linehan
Respondent(s): Steven Wiltshire
Respondent Lawyers(s): Steven Fingerhut
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
12-0101908/15/2014Claimant(s): Trt Agrt # 15437-5, Banco Nacional TTEE
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): James W. Geiger, Paul J. Burkhart, Harris Gally
Hearing Site: Miami, FL
Checkmark Icon$4,500,000
11-0212101/28/2014Claimant(s): Lois T. Morse Revocable Trust, Norman B. Morse Revocable Trust
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Evelyn Bukchin
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0459202/20/2013Claimant(s): John Herl
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): John Greer
Respondent Lawyers(s): John Michael Greer
Arbitrator(s): Jack Stein, James W. Geiger, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$390,800
10-0107809/06/2012Claimant(s): Donald Aronowitz
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Bernard Kornmehl
Arbitrator(s): James W. Geiger, Gustavus L. Pearthree, Antonio M. Freire
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
09-0645702/22/2012Claimant(s): Robert Locher
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Holly J. Sutton
Arbitrator(s): Linda M. Granata, James W. Geiger, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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