Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 24-01346 | 09/20/2024 | Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Michael E. Rowe Respondent(s): Joseph Tiderencel Respondent Lawyers(s): Joseph Michael Tiderencel Arbitrator(s): Jim Geiger Hearing Site: Syracuse, NY | ||
| 23-03648 | 08/02/2024 | Claimant(s): Mandisa Landry Claimant Lawyers(s): Thomas Momjian Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Rima F. Hartman Arbitrator(s): Jim Geiger Hearing Site: Philadelphia, PA | ||
| 23-03462 | 04/25/2024 | Claimant(s): Kovack Securities Inc Claimant Lawyers(s): Amy Towle Respondent(s): Hans Sharma Respondent Lawyers(s): Hans R. Sharma Arbitrator(s): Jim Geiger Hearing Site: Philadelphia, PA | ||
| 23-01349 | 04/11/2024 | Claimant(s): Peter Armstrong Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Advisors Asset Management. Respondent Lawyers(s): Kevin B. Walker Arbitrator(s): Jim Geiger Hearing Site: Columbus, OH | ||
| 23-01380 | 02/07/2024 | Claimant(s): Douglas Frizzell Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Jim Geiger Hearing Site: Manchester, NH | ||
| 23-00351 | 11/15/2023 | Claimant(s): James Laneave Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Synergy Investment Group Respondent Lawyers(s): Ryan Duffie Arbitrator(s): Jim Geiger, Jonathan S. Alcaro, Marcus G. Lashley Hearing Site: Richmond, VA | ||
| 23-00404 | 11/14/2023 | Claimant(s): James Laneave Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Synergy Investment Group Respondent Lawyers(s): Jeffrey D. Jones Arbitrator(s): Jim Geiger Hearing Site: Richmond, VA | ||
| 22-00645 | 11/13/2023 | Claimant(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 |  | $0 |
| 20-03646 | 04/07/2023 | Claimant(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 | | Expungement |
| 22-01788 | 03/03/2023 | Claimant(s): Loizos Kapnisi Claimant Lawyers(s): James P. Galvin Respondent(s): TIAA-CREF Individual & Institutional Svc Respondent Lawyers(s): Julie Calderon Rizzo Arbitrator(s): Jim Geiger Hearing Site: Richmond, VA |