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FINRA Awards for James & Associates.

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Displaying 21-30 out of 128 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0054106/03/2021Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Jennah Clark
Respondent Lawyers(s): Jennah Real Clark
Arbitrator(s): Michael S. Yauch
Hearing Site: Oklahoma City, OK
20-0184203/25/2021Claimant(s): Jeffrey Pratt
Claimant Lawyers(s): Zachary T Hayes-Macaluso
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
20-0262903/25/2021Claimant(s): James Aughenbaugh
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): William A. Fynes
Hearing Site: Dallas, TX
20-0240803/11/2021Claimant(s): GEORGE EWINS, RICHARD KOWALSKI
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Louis H Miron
Hearing Site: Montpelier, VT
20-0242212/31/2020Claimant(s): William Borders
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
20-0189012/30/2020Claimant(s): Jeff Wolk
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Denise L. Quarles
Hearing Site: New York, NY
18-0320410/22/2020Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jackson Stewart, Mark Obrzut, Nathan Shields, Raymond, James & Associates.
Respondent Lawyers(s): Jeff Csercsevits
Arbitrator(s): Susan L. Walker, Eugene G. Ziobron, Laurel Robin Klapper Gilchrist
Hearing Site: Indianapolis, IN
20-0063909/21/2020Claimant(s): Robert Brewer
Claimant Lawyers(s): Kathryn Roe Eldridge
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
19-0381409/18/2020Claimant(s): Mark Kopkin
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
19-0165806/11/2020Claimant(s): Karen Gallahar
Claimant Lawyers(s): Joel M Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL

128 Results

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