| 14-00292 | 06/20/2016 | Claimant(s): Estate of Earl L. Everline, Karl J. EverlineTTee of Everline Family
Claimant Lawyers(s): Kelly Everline
Respondent(s): Raymond James Financial Services., Janney Montgomery Scott LLC
Respondent Lawyers(s): Amy E. Sparrow, Robert M. Rudnicki
Arbitrator(s): Elliot B. Platt, Jim Geiger, Mary L. Sims
Hearing Site: Philadelphia, PA
|  | $0 |
| 15-03158 | 06/03/2016 | Claimant(s): Michael Stott
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Anthony Minerva, Daniel Dvorznak, Gregory Dean, Michael Valdini
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
| | $300 |
| 15-02397 | 05/09/2016 | Claimant(s): David Smith
Claimant Lawyers(s): David Neuman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Alexander J. Nassar
Arbitrator(s): Jim Geiger, Robert M. Singer, Patrick Leo Kennedy
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 14-02744 | 04/29/2016 | Claimant(s): Linda Shelton
Claimant Lawyers(s): Adam M. Green
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 14-02956 | 04/29/2016 | Claimant(s): Oxford Valley Cardiology Associates, P.C
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): John Tillger
Respondent Lawyers(s): John Joseph Tillger
Arbitrator(s): Jim Geiger, Gregory Hunter Mathews, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $168,744 |
| 15-00140 | 04/12/2016 | Claimant(s): Robert Bowman
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): Jim Geiger, John P. Azzopardi, Donald S. Bauman
Hearing Site: Philadelphia, PA
| | |
| 15-03077 | 04/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Lance Slater
Respondent Lawyers(s): Lance E Slater
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | |
| 15-00843 | 12/16/2015 | Claimant(s): Susan Poller-Newman
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | |
| 12-01957 | 12/04/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Lewis Lucarine
Respondent Lawyers(s): Lewis J. Lucarine
Arbitrator(s): Jim Geiger, Diane Ciccone, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
| | |
| 14-02722 | 05/29/2015 | Claimant(s): John Nardone, Morgan Stanley
Claimant Lawyers(s): Chan H. Nam
Respondent(s): Elizabeth Lastowski
Respondent Lawyers(s): Christopher Jones
Arbitrator(s): Jim Geiger, Stephen T. Mayhew, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Expungement |
