Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-00994 | 10/27/2021 | Claimant(s): Francesco Umbriaco Claimant Lawyers(s): Christopher B. Jones Respondent(s): Allen Wagner, Wells Fargo Advisors Financial Network Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Jim Geiger, Thomas R Nathan, Jason L Pearlman Hearing Site: Philadelphia, PA |  | Expungement |
| 20-01594 | 09/20/2021 | Claimant(s): Brandon Cheshier Claimant Lawyers(s): Danilo Borgas Respondent(s): Citizens Securities. Respondent Lawyers(s): Brenna Anatone Force Arbitrator(s): Jim Geiger, Robert L. Chase, John C Solomon Hearing Site: Providence, RI | ||
| 20-02378 | 07/22/2021 | Claimant(s): Bret Laporte Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Jim Geiger Hearing Site: Hartford, CT | ||
| 20-02741 | 07/06/2021 | Claimant(s): Richard Iannacone Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons. Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Jim Geiger Hearing Site: Manchester, NH | ||
| 20-02997 | 06/22/2021 | Claimant(s): Robert Bradshaw Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Jim Geiger Hearing Site: Norfolk, VA | ||
| 20-02694 | 04/26/2021 | Claimant(s): Nicholas Losinno Claimant Lawyers(s): Mark S. Gregory Respondent(s): LPL Financial LLC, Thomas Fross Respondent Lawyers(s): Tracey Salomon-Smith Arbitrator(s): Jim Geiger, Barry Goldman, James T. Carney Hearing Site: Pittsburgh, PA | | $0 |
| 20-02915 | 04/20/2021 | Claimant(s): HAROLD BESHAW Claimant Lawyers(s): Dochtor Kennedy Respondent(s): M&T Securities. Respondent Lawyers(s): Elizabeth R. Bailey Arbitrator(s): Jim Geiger Hearing Site: Philadelphia, PA | ||
| 20-01541 | 02/24/2021 | Claimant(s): Francis Hayden Claimant Lawyers(s): Gregory L. Smith Respondent(s): GWFS Equities. Respondent Lawyers(s): Ryan R. Baker Arbitrator(s): Jim Geiger Hearing Site: Louisville, KY | | $300 |
| 20-01624 | 02/12/2021 | Claimant(s): David Ellowitch Claimant Lawyers(s): Paula D. Shaffner Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Michael W. Arnold Arbitrator(s): Jim Geiger Hearing Site: Philadelphia, PA | ||
| 20-02042 | 01/14/2021 | Claimant(s): Thomas McWilliams Claimant Lawyers(s): Michael T. Gass Respondent(s): PFS Investments Inc. Respondent Lawyers(s): Adam M. Weaver Arbitrator(s): Jim Geiger, Patrick W. McKeon, John James McGovern Hearing Site: Manchester, NH |