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FINRA Awards for James & Associates.

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Displaying 41-50 out of 128 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0177511/07/2019Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Carole G. Miller
Respondent(s): James Moore
Respondent Lawyers(s): Elizabeth Zeck
Arbitrator(s): Kenneth J. Daras, Stephen P. Hoffman, Richard Leo King
Hearing Site: Columbia, SC
18-0342110/14/2019Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Eric R. Feld
Respondent(s): John Wyshak
Respondent Lawyers(s): John Charles Wyshak
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
19-0062710/09/2019Claimant(s): Alan Rosenberg
Claimant Lawyers(s): Stephen J. Ginsberg
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Susan C Lushing, Susan Romano, Michael I Stolzar
Hearing Site: New York, NY
18-0441307/24/2019Claimant(s): Kathleen Hobart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): William Michael Samsel
Hearing Site: Seattle, WA
19-0008807/01/2019Claimant(s): Wilson Garnett
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton Fears
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
18-0336806/24/2019Claimant(s): David Petty
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Debra Black Leo
Hearing Site: Birmingham, AL
17-0262205/16/2019Claimant(s): Brent Western
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Tammie L. Rattray
Arbitrator(s): Langfred W. White, Jack A. Marshall, David M. Snyder
Hearing Site: Tampa, FL
18-0281904/08/2019Claimant(s): Eric Dupre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Raymond, James & Associates.
Respondent Lawyers(s): Joelle Simms, Stanton Fears
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
18-0347504/04/2019Claimant(s): Brockway Jones
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
18-0198403/27/2019Claimant(s): Brian Thomas
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL

128 Results

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