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FINRA Awards for Jim Geiger

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Displaying 11-20 out of 94 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0071202/15/2023Claimant(s): Stephen Peiffer
Claimant Lawyers(s): Jon-Jorge Aras
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Jim Geiger, Lisette Lazinger Tarragano, George Aleman
Hearing Site: Philadelphia, PA
22-0124912/20/2022Claimant(s): Stanley Cooper
Claimant Lawyers(s): Denis Dice
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan
Hearing Site: Philadelphia, PA
22-0008110/17/2022Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
Checkmark IconExpungement
22-0054310/14/2022Claimant(s): Joseph Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
20-0273504/15/2022Claimant(s): Steven McGarrity
Claimant Lawyers(s): Alan E. Cech
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey Sturgeon
Arbitrator(s): Jim Geiger, Linda Arlene Michler, Frank C. Botta
Hearing Site: Pittsburgh, PA
21-0304904/11/2022Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Gretchen Mary Wallace
Respondent Lawyers(s): Gretchen Mary Thies Wallace
Arbitrator(s): Jim Geiger
Hearing Site: Providence, RI
20-0051802/11/2022Claimant(s): Brok-Alan Woodward-Griffith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
21-0053601/07/2022Claimant(s): Richard Hellberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Hornor, Townsend & Kent
Respondent Lawyers(s): George D. Fagan
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
21-0051411/23/2021Claimant(s): Matthew Champion
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jason Snyder
Arbitrator(s): Jim Geiger, Thomas E. Webb, Francis Xavior Daumen
Hearing Site: Syracuse, NY
20-0087011/01/2021Claimant(s): Timothy Hourihan
Claimant Lawyers(s): Francis D. Dibble
Respondent(s): Dorene Mulholland, Voya Financial Partners, Voya Retirement Ins.and Annuity Co.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Jim Geiger, Mae A. Brudner, Franklin Sariel Schwerin
Hearing Site: Hartford, CT

94 Results

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