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FINRA Awards for James & Associates.

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Displaying 81-90 out of 128 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0129712/04/2015Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): James Madden
Respondent Lawyers(s): Ann Marie Waldron
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
13-0202508/03/2015Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): John Pritchard
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Andrew J. Spurgeon, Michael Lau, Alexander Myers
Hearing Site: Boca Raton, FL
14-0382106/25/2015Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Woodley Bagwell
Respondent Lawyers(s): Woodley H. Bagwell
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
14-0380606/04/2015Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Penne Stafford
Respondent Lawyers(s): Penne Wilson Stafford
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
14-0375305/29/2015Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Armando Wood
Respondent Lawyers(s): Armando Wood
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
14-0312004/21/2015Claimant(s): Matthew Lowe, Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): William E. Hartsfield, Daniel A. Kile, Stephen Ronald Crissey
Hearing Site: Dallas, TX
14-0067303/18/2015Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Hartsook
Respondent(s): Barry Dekreek
Respondent Lawyers(s): Barry Jay Dekreek
Arbitrator(s): John N. Breazeale, Karla Y. Vogel, Harvey R. Linder
Hearing Site: Atlanta, GA
14-0121003/17/2015Claimant(s): Quentin Anderson
Claimant Lawyers(s): Richard L. Grant
Respondent(s): Raymond, James & Associates., Eagle Asset Management, Eagle Fund Distributors.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Randall T. Stack, Muriel Desloovere, Rochelle Friedman Walk
Hearing Site: Tampa, FL
14-0067502/10/2015Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Hartsook
Respondent(s): Noel Howe
Respondent Lawyers(s): Noel Alphonso Howe
Arbitrator(s): Susanne J. Hollander
Hearing Site: Orlando, FL
14-0177801/15/2015Claimant(s): Thomas Barnett
Claimant Lawyers(s): Thomas F. Barnett
Respondent(s): Morgan Keegan & Company., Raymond, James & Associates.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): D. Bruce Shine
Hearing Site: Memphis, TN

128 Results

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