| 14-01735 | 05/28/2015 | Claimant(s): Charles McNeely
Claimant Lawyers(s): Charles E. McNeely
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
|  | $0 |
| 13-00877 | 10/30/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John K. Wells
Respondent(s): Matthew MacMichael
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Jim Geiger, David Marcus, Gregory J. Spadea
Hearing Site: Philadelphia, PA
| | |
| 13-01771 | 10/29/2014 | Claimant(s): Robert Brendell
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Seyle
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Jim Geiger, John Michael Derderian, L. Martin Miller
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-04386 | 10/02/2014 | Claimant(s): Judith Goldman, Kenneth Goldman
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Barry Guariglia, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Toby S. Soli
Arbitrator(s): Jim Geiger, Doris J. Dabrowski, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | $0 |
| 13-02956 | 09/26/2014 | Claimant(s): Carly Mccarty
Claimant Lawyers(s): Stephen R. Bosin
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Jim Geiger, John T. Hausladen, Gary I. Kravis
Hearing Site: Philadelphia, PA
| | |
| 10-05445 | 08/21/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Gregory Dotter
Respondent Lawyers(s): Gregory Dotter
Arbitrator(s): Edward T. Borer, Jim Geiger, Bernard Herman, Glenn J. Hansen, Roger Frazier Cox, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 12-02542 | 05/09/2014 | Claimant(s): Robert Reynolds
Claimant Lawyers(s): David J. Stone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa M. Bertain
Arbitrator(s): Jim Geiger, Thomas B. Corey, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | Expungement |
| 12-03242 | 05/06/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Brad Rude
Respondent Lawyers(s): Marc Durant
Arbitrator(s): Jim Geiger, John Joseph Borzi, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | |
| 13-00759 | 12/12/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Anthony Wall
Respondent Lawyers(s): Anthony A. Wall
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | |
| 12-01040 | 10/10/2013 | Claimant(s): Matthew Garagusi
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Samuel A. Alward, John Joseph Hentschel, CRE, MAI, FRICS
Hearing Site: Baltimore, MD
| | Expungement |
