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FINRA Awards for Raymond

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Displaying 11-20 out of 128 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0113910/10/2022Claimant(s): Peter Bermont
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, David P. Slater
Hearing Site: Boca Raton, FL
21-0266808/11/2022Claimant(s): Jeannan Brewer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
21-0202007/18/2022Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mitchell Oldewurtel
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Deana S. Peck, Daniel Baruch Lidawer, David F. Sargent
Hearing Site: Phoenix, AZ
21-0254607/14/2022Claimant(s): Jeannan Brewer, John Brewer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
21-0052606/09/2022Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Andrew Stout, Andrew Waldbaum, Christopher Horner, Kenneth Robbins, Lisa Detanna, Michelle Moore, Raymond James Trust, N.A.
Respondent Lawyers(s): Hayden Adams, Peter S. Fruin
Arbitrator(s): Robert D. Sussin, George Herman Frisch, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
21-0077912/23/2021Claimant(s): Jim Mui
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Raymond James Financial Services., Raymond, James & Associates., UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer E. Novoselsky, John Murphy, Robert M. Rudnicki
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
19-0207911/30/2021Claimant(s): Joe King, Lynn Faust, Michael Faust
Claimant Lawyers(s): Debra A. Jenks, Marc S. Dobin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Suzanne E. Reynolds-Brady, Cindy L. Anderson, Meeta Alberta Bass
Hearing Site: Tampa, FL
21-0038308/20/2021Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Sean Martin
Respondent Lawyers(s): Sean Rierson Martin
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
20-0415508/18/2021Claimant(s): Christopher McDonagh, Daniel Bauers, Theodore McDonagh
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
21-0102508/09/2021Claimant(s): James Garner
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Paul M. Foster, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Little Rock, AR

128 Results

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